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Series 57: Securities Trader Qualification Exam Training
Beginning October 1, 2018, candidates who do not have an open FINRA exam window for the Series 57 are required to take the new Series 57 Top-Off exam instead. Also, they may be required to take the SIE Exam as a co-requisite. Please navigate to those pages to enroll in our study programs. You should only be purchasing materials on this page if you had an open exam window for the Series 57 prior to October 1, 2018. If you are not sure, please confirm with your registration and compliance department. For more information on the exam restructuring, please click here or call our office.
The Series 57 Exam is designed to assess the competency of entry-level Securities Traders. It is intended to safeguard the investing public by helping to ensure that Securities Traders are competent to perform their jobs. Given this purpose, the Series 57 exam seeks to measure the degree to which each candidate possesses the knowledge, skills and abilities needed to perform the critical functions of a Securities Trader.
- Series 57 Textbook (Physical & Electronic Versions)
- Online & Printable Practice Exams
- 6+ hrs of Video Lectures
- Mobile App for offline training (iPhone & iPad)
- Downloadable Class Supplements
- Personal Instructor Support
About the Exam:
Number of Questions: 125 graded questions (plus 10 ungraded experimental questions).
Exam Structure: 1 session covering all topics. All questions are multiple choice.
Time to Complete: 3 hours and 45 minutes
Passing Score: 70%
Recommended Study Time: 70 - 80 hours
"Knopman Financial Training provided a concise yet complete view of the material that allows you to learn it efficiently. The instructors are knowledgeable, readily available to answer questions and effective at presenting highly testable material."
"Passed the exam. The Knopman materials were on the mark again. You guys are good at what you do. Thanks."
"Knopman Financial Training will ensure that you pass the exam with a combination of highly relevant material and committed instructors. From my experience, the service they provide is unparalleled."
On the morning of your exam, plan on arriving at the testing center at least 30 minutes prior to your scheduled start time. You should bring with you government issued identification (e.g. driver's license or passport). Make sure the last name on your I.D. is the same as your last name on your registration form with your firm. Also make sure you don't bring expired I.D. You will be required to leave all your personal articles in a locker outside the testing room. The testing center will provide you with a scratch pad, a pen or marker, and a basic four function calculator. You are not permitted to bring anything else into the actual testing room.
The exam is administered via the FINRA PROCTOR system at Prometric testing centers.
We don’t handle the scheduling of the actual exam – that typically happens through your compliance dept. The cost is dependent on the testing center you book with. When you are ready to schedule it you can contact Prometric Testing: 1-800-578-6273 or http://www.prometric.com/FINRA