Classes you can count on,
instructors you can trust
This course has live training available.
Take as many in-person or
virtual classes as you need throughout your training. The next class begins
on May 9.
Classes you can count on,
instructors you can trust
Series 57 Top-Off: Securities Trader Representative Exam Training
Prepare for the new Series 57 Top-Off Exam with Knopman Marks’ industry-leading training package. Changes to the Series 57 Exam made in 2018 with the rollout of the SIE Exam are reflected in all course materials. Our package includes comprehensive study materials and the ability to ask questions day and night, evenings and weekends. Study with confidence and walk into your exam equipped with the knowledge you need to pass the first time around.
Our Current Pass Rate is 95%
Course Includes:
- Textbook (Physical & Electronic Versions)
- Online & Printable Practice Exams
- 4 hours of Video Lectures (8 Lessons)
- Mobile App for offline training (iPhone & iPad)
- Downloadable Class Supplements
- Benchmark Exam
- Personal Instructor Support
New Series 57 Curriculum:
| Lesson 1 | The Nasdaq Stock Market |
| Lesson 2 | Over-the-Counter (OTC) Equities |
| Lesson 3 | Regulation of Markets |
| Lesson 4 | Handling Customer Orders |
| Lesson 5 | Trade Reporting |
| Lesson 6 | New Issue Market |
| Lesson 7 | Equity Markets Securities Regulations |
| Lesson 8 | Options Contracts and Strategies |
About the Exam:
- Number of Questions: 50 graded multiple-choice + 5 ungraded questions
- Time to Complete: 1 hour and 45 minutes
- Passing Score: 70%
- Co-requisite: SIE Exam
- Recommended Study Time: 40 to 50 hours
Content Outline:
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
