Series 4

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DEFINITION of 'Series 4'

A securities license entitling the holder to supervise options sales personnel and compliance issues. Before taking the Series 4 exam, you must have your Series 7 license.

BREAKING DOWN 'Series 4'

The Series 4 exam is administered by the Financial Industry Regulatory Authority (FINRA) and covers topics such as options strategies, foreign exchange options and taxation.

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    Forward contracts and call options are different financial instruments that allow two parties to purchase or sell assets ... Read Full Answer >>
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