Series 4 Exam — Mock Exams & Practice Tests

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 Mock Exams & Practice Exam Questions | FINRA Registered Options Principal
  Series 4 mock exams and practice exam questions for FINRA Registered Options Principal. Timed practice sets and detailed explanations in the FINRA Exam Prep app (web, iOS, Android).