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This exam is administered by The Financial Industry Regulatory Authority (FINRA) and provides an individual with the qualifications necessary to trade equity and convertible debt securities on an agency or principal basis.
Enrollment Fee:
$95 US. Note that this is the examination enrollment fee ONLY--other fees may also apply.
Prerequisite:
You must be sponsored by a FINRA member firm and must have already passed the series 7 or series 62 exam.
Format:
Multiple Choice
Number of Questions:
| Objective |
# Questions |
| NASDAQ and Over the Counter Markets |
41 |
| NASDAQ Display, Execution and Trading systems |
17 |
| Trade Reporting Requirements |
19 |
| General Industry Standards |
23 |
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| TOTAL |
100 |
Each candidate will be allowed 180 minutes to complete the examination. This time limit has been designed to provide enough time for all
candidates to complete the exam. A score of 70% or higher is required to pass the series 55 exam.
The examination is conducted as a closed book test. Upon completion of the examination, the score for each section and the overall
test score will immediately be made available to the candidate.
"The textbook and software are the best I have seen"
-- James P.
"The exam preparation software really prepared me for the exam."
-- Henry G.
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