For the past couple of months, I have been studying and preparing for another securities exam. Yesterday, I passed the Series 4 exam and added another professional license to my name. The nice thing with this license, is that my boss doesn't have it. I do not intend to celebrate his failure, that's not my style, but he did not pass the test and has never retaken the exam. It's a nice feeling to have it over with while taking it just once.
The Series 4 exam is for managers supervising options sales personnel or supervising compliance. You must have a Series 7 license before taking the Series 4 exam.
Series 4 Test and Course Information
Test topics include:
Option Strategies
Equity Options
Debt Options
Index Options
Foreign Currencies
Customer Accounts and Orders
Supervision and Compliance
Employee Supervision
Business Conduct
Record keeping & Reporting Requirements
I am happy to have this one completed, and it proves to be a very valuable license.
Sometimes, achievements come with great work and sacrifice.......but the reward it worth it.
