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If you're ready to move into options trading or market making at your firm, Varsity Tutors can set you up with effective Series 4 prep classes. We use an individualized approach, putting you together with a test prep and finance expert who can cater a Series 4 course to your particular needs. Whether you need to learn options trading strategies, understand how you can hedge your firm's other trades using options, or hone your understanding of options disclosure regulations, a Series 4 prep course gives you the opportunity to focus on the areas where you need the most support.

If you're ready for a Series 4 class, then you've already been through the SIE and the Series 7 exam. That means that you know what Finra expects from you on these exams, and also that you can expect the difficulty level to rise as you move into more complicated products. That's why a customized Series 4 class could be right for you. You can dictate what sessions focus on so that you're always learning efficiently. If you don't know where you need to fill gaps, your Series 4 prep class instructor can perform an assessment of your knowledge and capabilities so they can build a study plan that keeps you making progress throughout sessions.

One of the first things you'll need to know for the Series 4 is its makeup. Here's what you'll be preparing for in Series 4 courses:

Question Format # Questions Time Allowed Passing Score Corequisites
Multiple-Choice 125 3 hours and 15 Minutes 72% Securities Industry Essentials (SIE) + Series 7

With this information in mind, you should know that Series 4 prep courses can help you develop additional skills beyond the topics you need to know for the test. Your Series 4 class also gives you the chance to build up your study and test-taking skills, develop time management and other test-taking strategies, and know where you stand in terms of a passing score. Put together, this knowledge can help you get more out of the test, cut out obvious wrong answer choices to increase your chances of getting tough questions correct, and overall feel more confident heading into test day.

Your Series 4 class isn't low on substance though. You'll have to understand a lot of different concepts and apply that knowledge throughout the exam. Often, it makes sense to spend time drilling on concepts the exam covers so you have them at the tip of your tongue come test day, especially if you don't do everything on the exam on a daily basis at your firm. Here are just some of the topics you could make sure you understand during your Series 4 prep courses:

Series 4 Topics (non-comprehensive)

  • Customer Identification Program (CIP) requirements
  • Due Diligence and Know Your Customer (KYC) requirements
  • Options disclosure document requirements
  • Options programs and trading strategies
  • Authorization and approval of any discretionary handling
  • Requirement to perform suitability reviews to determine if the use of options is consistent with the customer profile
  • Margin requirements set by regulation for initial/maintenance requirements
  • Contract adjustments due to such events as splits, mergers, and dividends
  • Record retention and segregation requirements
  • Aggregation of accounts for reporting position limits, exercise limits, and large positions
  • Separation of proprietary, market making, and customer trading
  • Authorizing and monitor customer market access

If Series 4 classes sound like a good idea to you, reach out to the Educational Directors at Varsity Tutors today. Directors can listen to your needs and specifications and set you up with a Series 4 course instructor who can meet at a time that is most convenient for you. You'll also be able to meet for each Series 4 class using our innovate online Live Learning Platform. Let's get you started today.

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