The go-to guide to acing the Series 4 Exam!
The Registered Options Principal Qualification Examination (Series 4) was designed to test a candidate''s knowledge of the rules and statutory provisions applicable to the supervisory management of a firm''s options personnel and options accounts. After passing the exam, a registered person may supervise a FINRA member firm''s options business and is qualified to oversee trades on all forms of options, from equity options to foreign currency options to options on government and mortgage-backed securities. The subject areas covered in the exam are: Options Investment Strategies; Supervision of Sales Activities and Trading Practices; Supervision of Employees, Business Conduct; and Recordkeeping and Reporting Requirements.
Created by the experts at the Securities Institute of America, Inc., Wiley Series 4 Exam Review 2020 arms you with what you need to score high on the test. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you''re prepared mentally and strategically to take the test, it provides:
Wiley Series 4 Exam Review 2020 is your ticket to passing the Series 4 test on the first try—with flying colors!
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