The Series 4 exam may be taken at any Prometric Sylvan Testing Center.  Any person who supervises a firm's options transactions with the public must qualify as a Registered Options Principal. - [Read more]

The series 9 exam is the options portion of the NYSE Branch Office Manager examination. Candidates are given 1 1/2 hours to answer 55 multiple-choice questions covering regulation of options. In order to be fully registered as a Branch Office Manager, a candidate must attain a 70% on both the Series 9 and the Series 10 exams. - [Read more]