FINRA Series 57 - Exam Information

The securities trader qualification exam is administered by The Financial Industry Regulatory Authority (FINRA) and provides an individual with the qualifications necessary to register as a securities trader

Enrollment Fee:

$120 US. Note that this is the examination enrollment fee ONLY - other fees may also apply.


You must be sponsored by a FINRA member firm .


Multiple Choice

Number of Questions:

125 multiple choice questions based on the follow four critical job functions:

Job Functions
# Number of Items
Function 1 – Market Overview and Products
Function 2 – Engaging in Professional Conduct and Adhering to Regulatory Requirements
Function 3 – Trading Activities
Function 4 – Maintaining Books and Records and Trade Reporting

Each candidate will be allowed 225 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 57 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

Series 57 Study Textbook

Series 57 Exam Textbook

Paperback    192 pages    102 test questions    Published December 2015

The "go to guide" to acing the Series 57 exam - Our Series 57 textbook is designed to guide you through your entire study process and to get you ready to pass the Series 57 exam. The Series 57 textbook is packed with test tips, Series 57 sample questions and all the must know information you need to pass your exam. Our Series 57 textbook has been developed in partnership with John Wiley and Sons to ensure you have the absolute best Series 57 material.

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Series 57 Exam Online Prep Software

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