Wiley Series 4 Exam Review 2015 + Test Bank: The R egistered Options Principal Qualification Examinat ion

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The go-to guide to acing the Series 4 Exam!The Registered Options Principal Qualification Examination (Series 4) was designed to test a candidates knowledge of the rules and statutory provisions appli...
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The go-to guide to acing the Series 4 Exam!

The Registered Options Principal Qualification Examination (Series 4) was designed to test a candidates knowledge of the rules and statutory provisions applicable to the supervisory management of a firms options personnel and options accounts. After passing the exam, a registered person may supervise a FINRA member firms options business and is qualified to oversee trades on all forms of options, from equity options to foreign currency options to options on government and mortgage-backed securities. The subject areas covered in the exam are: Options Investment Strategies; Supervision of Sales Activities and Trading Practices; Supervision of Employees, Business Conduct; and Recordkeeping and Reporting Requirements.

Created by the experts at the Securities Institute of America, Inc., Wiley Series 4 Exam Review 2015 arms you with what you need to score high on the test.

Uitgever John Wiley & Sons Ltd
Druk 3
ISBN/EAN 9781118857014
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