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How to Fast-Track Your Series 57 Exam Prep

What will it take to launch your career as a securities trader by passing the Series 57 exam on your first try?

Step one is picking the right exam prep partner. Knopman Marks delivers on the Series 57 exam, with up-to-date course materials, live training, and practice tests. Our predictive benchmark exams let you know where you stand, so you can walk into your exam with confidence.

“This is a tough exam.” says Dave Meshkov, Head of Course Design at Knopman Marks. “You won’t get away with just memorizing facts. You need to develop a conceptual understanding of the topics and know how to apply the information. We make sure you focus on the right things, so you get that pass the first time.”

How to Pass the Series 57 Exam

Invest in the Best Materials

Knopman Marks is known for the best prep materials available. Our newly updated online Training Center guides students through our proprietary study materials, including our new textbooks, videos, practice tests, and more. An easy-to-follow action plan offers clear guidance.

“We make it a priority to stay current with content changes,” Meshkov says. “All our materials reflect the latest regulatory changes so that we’re not wasting anyone’s time with outdated information.”

The KM comprehensive Series 57 course includes everything you need to ace your exam:

  • 9 hours of interactive, dynamic videos. Our Series 57 videos were updated in 2021 to reflect recent trends and regulatory focus. Our iOS mobile app to allows you to view our videos offline.
  • Updated Textbook/eBook and downloadable Supplements help you study the most relevant material. We released a new edition of our textbook in December 2020, with updates on rule changes, such as opening and closing cross changes; added sections on heavily tested content; and included Knopman Notes to emphasize key points you need to know.
  • Online practice exams make it easier to drill the content. In 2021, we added about 125 new practice questions into the question bank, all written to reflect heavily tested information.
  • Benchmark and Diagnostic exams test your mastery of the material.
  • Help Staying on Track. Instructors send out regular check-ins and updates, pop quizzes, as well as last-minute tips and reminders so you reach your goal.
  • A Coach in Your Corner. Our Client Success Team is available to answer your questions or connect you with faculty.
  • An optional one-day live class. Our instructors are renowned for their expertise in helping you focus on the most testable material, fill in your knowledge gaps, and build confidence.

We are always enriching our offerings. Still to come this year, we will release Flashcards and Review Vault Videos.

94% of candidates who pass our Series 57 benchmark exam
pass the actual exam on their first try.

Tips to Pass the Series 57 Exam on Your First Try

The Knopman Marks faculty offers these strategies to ace your Series 57 exam.

  1. Be sure you’re studying the right topics. Our updated practice questions give you the insights for handling the questions that probe your understanding. Our new video lectures bring the most challenging concepts to life.

  2. Don’t focus on memorizing percentages. The equity trading rules include tons of percentages and numbers (8% defined limit, 3% clearly erroneous, etc.), but much more important than memorizing all the percentages is understanding the underlying concepts. Our materials will guide you to which percentages and numbers are most important to know.

  3. Seek out the experts. Do you know whether ACT, OATS, MPID, ECN, CQS, ADF, or TRF will be tested on the Series 57 exam? Be sure you know what to study and how to study by working with experienced instructors like the Knopman Marks faculty.

  4. Leverage readiness predictors. Walk into your exam with confidence by using our unique set of diagnostic, benchmark, and practice tests. They accurately predict your readiness level and your likeliness of passing the actual exam.

  5. Take your time on the exam. The questions can be wordy and confusing. They are meant to be tricky so you will want to read everything very carefully and take the full allotted time to answer.

Series 57 Content

FormatMultiple choice
Duration1 hour 45 minutes
Passing Score70%
CorequisiteSIE Exam

FINRA offers a content outline that indicates the range of topics covered on the exam, and the depth of knowledge required. The outline covers the two major job functions of a securities trader representative. The recommended study time is 40 to 50 hours. Below you will find the allocation of exam items for each major job function on the exam. The exam includes 55 questions, of which 50 are graded and five are ungraded.The Series 57 exam’s focus is conceptual. You will need to understand the general purpose, principals, and applications of trading rules rather than the details of the rules. The Series 57 exam will cover a significant number of options topics, including suitability, position names, and rules and regulations.


No. of Exam Items

Trading Activities


Maintaining Books & Records,

Trade Reporting & Clearance and Settlement





Save with the SIE & Series 57 Bundle

Remember that the Series 57 has as a co-requisite passing the SIE Exam. Candidates must pass both the SIE and the Series 57 exam to obtain the Securities Trader registration. Bundle the SIE and Series 57 with Knopman Marks to save $75 off the cost of training.

Find more study tips to pass the Series 57 exam.

SIGN UP for Series 57 training with Knopman Marks.


Suzanne Riss is an author and Director of Communications at Knopman Marks Financial Training. Previously the award-winning Editor-in-Chief of Working Mother magazine, she is a fierce advocate for issues facing working moms and an authority on work/life trends. Her expertise has been tapped in interviews by The New York Times, The Wall Street Journal, Good Morning America, the Today Show, and CNN. Suzanne's third book, Work Disrupted, published by Wiley, was released in January 2021.