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Prepare for options account approvals, account activity supervision, trading controls, communications review, regulatory practices, and personnel management with a plan mapped to FINRA's six Series 4 job functions.
Series 4 is a principal-level FINRA exam for supervising a firm's options business. The exam has 125 scored items, 10 unscored pretest items, 3 hours and 15 minutes of testing time, and a 72% passing score. HiraEdu turns the official function weights into a practical prep sequence for options supervisors.
Use the official FINRA structure to balance options calculations with the supervisory, disclosure, communications, and personnel questions that define the exam.
Series 4 assesses competency for entry-level Registered Options Principals supervising options personnel, accounts, and trading.
FINRA lists 125 scored items; the content outline adds 10 unidentified pretest items for 135 total exam questions.
Candidates have 3 hours and 15 minutes and need a 72% passing score.
Candidates must be sponsored for principal-level eligibility, and SIE plus Series 7 are corequisites for the Registered Options Principal registration.
Series 4 expects candidates to know options strategies, but FINRA frames the exam around supervisory management of options personnel, accounts, trading, communications, and regulatory practices. The plan has to blend product mechanics with principal-level judgment about approvals, disclosures, controls, escalation, records, and personnel oversight.
FINRA allocates 21 scored items to opening new options accounts, 25 to supervising account activities, 30 to general options trading, 9 to options communications, 12 to regulatory requirements, and 28 to associated persons and personnel management. HiraEdu uses those weights to schedule review time and to keep high-value supervision areas visible through final practice.
The content outline states that candidates receive 10 unidentified pretest items that do not count toward the score. Because they are mixed into the exam, candidates should answer every item and manage time against 135 total questions, not just the 125 scored questions.
Use this FINRA Series 4 (Registered Options Principal) exam help page for exam-specific context, then compare the broader online exam help services page or contact HiraEdu if you need a direct handoff. This page stays focused on FINRA Series 4 (Registered Options Principal) while the linked service pages cover broader exam support options.
The FINRA Series 4, Registered Options Principal Qualification Exam, assesses whether an entry-level options principal can supervise options personnel, accounts, trading, communications, and related regulatory controls. FINRA lists 125 scored multiple-choice items, a 3 hour 15 minute testing time, a 72% passing score, and SIE plus Series 7 corequisites for holding the Registered Options Principal registration. The content outline also states that each exam includes 10 additional unidentified pretest items, so candidates see 135 total questions. HiraEdu builds Series 4 preparation around new options account approval, options account activity supervision, general options trading supervision, communications review, regulatory controls, personnel supervision, options disclosure requirements, margin and risk reviews, and Prometric scheduling readiness.
Series 4 is the Registered Options Principal Qualification Exam for candidates who will supervise a firm's options personnel, accounts, trading, and related controls.
FINRA lists 125 scored questions, and the content outline says candidates receive 10 additional unidentified pretest items, for 135 total questions.
Candidates have 3 hours and 15 minutes to complete the exam.
The current FINRA passing score for Series 4 is 72%.
FINRA lists SIE and Series 7 as corequisites to hold the Registered Options Principal registration, and candidates must be associated with and sponsored by an eligible firm for principal-level exams.
Build a checklist for new account supervision, account activity supervision, trading supervision, communications, regulatory controls, and personnel management.
Review equity, index, interest rate, foreign currency, government, and mortgage-backed options, including strategy risks, margin, exercise, assignment, limits, and position adjustments.
Practice approving accounts, verifying ODD delivery, reviewing uncovered options, managing discretionary authority, handling trade errors, monitoring market access, and identifying when escalation is required.
Use 135-question timing to account for pretest items, then review misses by function weight so remediation targets the supervisory area that caused the issue.
Use the guide to self-serve, or talk to a coordinator if you need help mapping timelines, official requirements, or troubleshooting day-of logistics.
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