The Registered Options Principal (ROP)
Qualification Examination, or Series
4, tests a candidate’s knowledge
of options trading, exchange rules,
regulations that apply to the trading of
options contracts, and rules of the Options
Clearing Corporation (OCC).
Any individual who will function as a registered
options principal, compliance registered
options principal, or senior registered options
principal must pass the Series 4.
The Series 4 is a 3-hour, 125 multiple-choice
question exam categorized as follows:
