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Options Supervisor’s Course (OPSC)

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Question 1

Mr. Roberts, a registered options supervisor, is conducting a review of option account activity for a client who has recently experienced significant losses in their options trading. Upon investigation, Mr. Roberts discovers that the client has been using borrowed funds to trade options. What regulatory concerns should Mr. Roberts address regarding the client's use of borrowed funds?
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About this exam

Options Supervisor’s Course (OPSC)

Options supervision, approval workflows, margin oversight, and control-room decision making.

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Exam syllabus

What OPSC candidates need to cover

Options Supervisor’s Course (OPSC) prep works best when you move from a short diagnostic quiz into repeated review of the topics that keep costing marks.

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