Broker Preparatory Course for Series 4 USA (PREPARATION COURSE)

The Series 4 Content outlines six major job functions this includes:

• Supervising the opening of new options accounts
• Supervising options account activities
• Supervising options communications
• Supervising general options trading
• Implementing practices and adhering to regulatory requirements
• Supervising associated persons and personnel management activities.

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

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