Series 4 Exam — Mock Exams & Practice Tests
Prepare for FINRA Series 4 (Registered Options Principal) with a blueprint-aligned syllabus, an options-principal cheat sheet, authoritative resources, and exam-style practice.
The Series 4 (Registered Options Principal Qualification Exam) is a principal-level exam focused on supervising a firm’s options business: approving options accounts, supervising recommendations and margin, overseeing trading operations and market access controls, reviewing options communications, and supervising associated persons.
Key points:
- Sponsorship required: you must be associated with a FINRA member firm (or other applicable SRO member firm) to sit for Series 4.
- Corequisites: SIE + Series 7 (FINRA also references certain equivalent qualification paths; see FAQ).
- Registration category: Registered Options Principal (OP) (FINRA Rule 1220(a)(8), high level).
Use this hub as your study flow:
- Overview: exam format, timing, score, eligibility, and function weights
- Syllabus: blueprint → functions → learning objectives (practice links included)
- Cheatsheet: supervision workflows, margin/risk controls, and common traps
- Practice: timed mocks + targeted drills
- FAQ: prerequisites, eligibility, and study strategy
- Resources: official FINRA links and the content outline PDF
- Updates: content changes and syllabus mapping updates
In this section
- Series 4 Cheatsheet — Options Principal Supervision, Margin, Trading Controls & Communications
Comprehensive FINRA Series 4 reference: options account opening/approvals, ODD and disclosure timing, suitability/best-interest supervision, margin and portfolio margin concepts, trading operations (exercise/assignment, position/exercise limits), market access controls, communications review, supervision/records, and personnel management.
- Series 4 Exam Overview — Format, Weights & Eligibility
Understand FINRA Series 4 (Registered Options Principal) at a glance: structure, timing, passing score, function weights, eligibility, and prerequisites.
- Series 4 FAQ — Common Questions & Quick Answers
Answers to common questions about the FINRA Series 4 exam: eligibility and sponsorship, SIE/Series 7 corequisites, exam format/timing, and how to study.
- Series 4 Practice — Mock Exams & Topic Drills
Launch Series 4 practice: timed mocks and targeted drills mapped to FINRA’s Series 4 job functions with detailed explanations.
- Series 4 Resources — Official FINRA Links & Content Outline
Official resources for the FINRA Series 4 (Registered Options Principal) exam: exam page, content outline PDF, and key rule references.
- Series 4 Syllabus — Blueprint & Learning Objectives
FINRA Series 4 syllabus mapped to the official functions with clear learning objectives and quick links to targeted practice.
- Series 4 Updates — Blueprint & Content Changes
Track changes to the Series 4 study hub: syllabus mapping, cheat sheet refinements, practice coverage, resources, and copy updates.