License: Series 4 - Registered Options Principal Examination (OP)

Covered supervisory activities and products include regulatory compliance over trading, market making, underwriting and advertising of: ?Equity options ?Foreign currency options ?Interest rate options ?Index options ?Options on government and mortgage-backed securities
More information about this license

  • Stand-alone license
  • State exam required
  • No education required
  • Continuing education required
  • No experience required
  • Background check required
  • No physical requirements
License information updated 07/19/2019