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KAPLAN Financial's (formerly Dearborn's Passtrak) Securities Licensing Exam Prep programs have helped thousands of prospective agents and representatives pass their licensing exams on the first try.

The entire system is structured to build knowledge, confidence, and exam-readiness. Each program is extremely efficient, so your time is well-spent. The programs are focused, realistic and relevant—aimed at helping you build knowledge to enhance your pass-rate success.

You may notice that some of the programs are now first editions -- after having been sometimes up to their 19th and even 34th editions.  These first editions are updated versions of those older editions that are now under the Kaplan Financial umbrella.  Rest assured that they are the same successful programs.

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KAPLAN FINANCIAL SERIES 4
Registered Options Principal Exam

The Series 4 exam is required for those who wish to become a Registered Option Principal (ROP) or Registered Options and Securities Futures Principal (ROSFP).  It tests knowledge of options trading, exchange rules, and regulations applicable to the trading of options contracts, as well as the rules of the Options Clearing Corporation.

EXAM PREREQUISITES:

Prospective Series 4 representatives must have passed the Series 7 exam.

THE EXAM:

The Series 4 exam is administered by FINRA and consists of 125 questions. Students are given 180 minutes to complete the multiple-choice exam. The exam is computer-based but no special computer skills are required. Students are provided with scratch paper, pencil and a simple calculator at the testing center. Students must receive a score of 70% or better to pass.

PREMIER SET
PREMIER SET contains a License Exam Manual
and a SecuritiesPro™ QBank Online Download

The License Exam Manual covers the following topics:

  • Introduction to equity options
  • Nonequity options
  • Customer accounts
  • Margin accounts
  • Option sales practices and industry regulations
334 pages

SecuritiesPro™ Qbank Online Download gives online access to students who want to pass the licensing exams and test their exam readiness with the following:

  • An online collection of practice questions built on the most current test topics and updated to address the latest regulations
  • Hundreds of questions to create a variety of online practice exams
  • A mastery exam that closely replicates the exam experience in degree of difficulty and topical coverage.
Regular price: $240.00; Our price: $228.00
LICENSE EXAM MANUAL
  Regular price: $120.00; Our price: $116.00
 
SECURITIES PRO™ QBANK ONLINE DOWNLOAD
Regular price: $120.00;  Our price: $116.00
2nd edition, June 2010
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