Regulatory Notice 15-29

FINRA Revises the Series 4 Examination Program

Implementation Date: September 28, 2015

Executive Summary

FINRA periodically reviews the content of qualification examinations to determine whether revisions are necessary or appropriate in view of changes—including changes to the laws, rules and regulations—pertaining to the subject matter the examinations cover. Based on this review process, FINRA has revised the Registered Options Principal (Series 4) examination program.

The changes are reflected in the Series 4 content outline on FINRA’s website and will appear in Series 4 examinations administered on or after September 28, 2015.

Questions regarding this Notice should be directed to:

  • Bridget Fox, Qualifications Analyst, Testing and Continuing Education Department, at (240) 386-6472; or
  • Gemma Sartori, Qualifications Analyst, Testing and Continuing Education Department, at (212) 858-4146.