Series 4 Resources — Official FINRA Links & Content Outline

Use these official resources as your source of truth.

Exam page & outline

• Series 4 exam page (FINRA): https://www.finra.org/registration-exams-ce/qualification-exams/series4
• Series 4 Content Outline (PDF): https://www.finra.org/sites/default/files/Series_4_Outline.pdf

Eligibility and registration rules

• SIE exam page (FINRA): https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie
• Series 7 exam page (FINRA): https://www.finra.org/registration-exams-ce/qualification-exams/series7
• FINRA Rule 1210 (registration requirements): https://www.finra.org/rules-guidance/rulebooks/finra-rules/1210
• FINRA Rule 1220(a)(8) (Registered Options Principal): https://www.finra.org/rules-guidance/rulebooks/finra-rules/1220

High-yield FINRA rule references (Series 4 scope, high level)

• Options (Rule 2360): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2360
• Communications with the Public (Rule 2210): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2210
• KYC (Rule 2090): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2090
• Suitability (Rule 2111): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111
• Anti-Money Laundering (Rule 3310): https://www.finra.org/rules-guidance/rulebooks/finra-rules/3310
• Supervision (Rule 3110): https://www.finra.org/rules-guidance/rulebooks/finra-rules/3110
• Margin Requirements (Rule 4210): https://www.finra.org/rules-guidance/rulebooks/finra-rules/4210

Options industry references (high level)

• OCC (The Options Clearing Corporation): https://www.theocc.com/
• OIC (The Options Industry Council): https://www.optionseducation.org/

SEC references (high level)

• Regulation Best Interest (Exchange Act Rule 15l-1): https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.15l-1
• Regulation S-P (privacy): https://www.ecfr.gov/current/title-17/chapter-II/part-248