Series 4 Registered Options Principal
MGL Consulting Corporation will offer a preparatory Series 4 classroom training session. This one-day seminar will be held at MGL’s headquarters in The Woodlands, TX (near Houston).
FINRA requires its members to successfully complete the Series 4 Registered Options Principal (ROP) Qualification Examination prior to managing a firm’s options accounts.
The ROP Qualification Examination is designed to test a candidate’s knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts. The class will assist students in preparing to sit for the examination.
Areas of discussion will include:
- Options Investment Strategies
- Supervision of Sales Activities and Trading Practices
- Supervision of Employees, Business Conduct, and Recordkeeping and Reporting Requirements
It is recommended that you spend approximately 30 - 40 hours reading the prestudy material and answering the questions, prior to attending the class.