Series 57

Equity - Stock Trader Exam

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Series 57 Trader License

The series 57 is a 50 question multiple choice equity trader exam. THE TIME LENGTH OF THE TEST IS 105 MINUTES AND 70% is the passing grade to become licensed.

The Series 57 exam is used to test each person that they have the knowledge they need to execute the important tasks of a securities equity trader, including conducting trades in equity stock. This also includes preferred or convertible bonds into common stock that can be transacted on a registered securities exchange - proprietary trading.

Topics of the Exam Covered Include:

  • General Trading Practices

  • Order Types ie: Stop Orders, Limit Orders

  • Capital Market Access

  • Proper Customer Trading Transactions

  • Quotes and Trading Halts

  • Trade Volume Recognition and Advertisements

  • SEC Rules and Securities Acts - FINRA and Exchange Regulations

  • Equity and Debt Options Trading - Position Limits, Understanding Call and Put Option Risks

  • Maintaining Customers Records - Trading Transactions, Retaining and Record Keeping

  • Understanding Trade and Settlement Dates, and Handling Customer Confirmations

The Series 57 is the former Series 55 Exam - with certain changes implemented. All Training and Course material are designed with the current rules and regulations. Please contact us for more information on this licensing exam.

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The Series 57 training Course is in the process of being updated

Please check back with us or contact us!