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The Series 57 Exam is also commonly referred to as the Securities Trader Qualification Exam. The Financial Industry Regulatory Authority, or FINRA, administers the exam. Professionals who pass their Series 57 exam become qualified to trade equity and convertible debt securities as a principal or agent. These individuals can also become registered securities traders after successful completion of the test.

Passing the Series 57 can be challenging for many individuals. It has 125 multiple-choice questions, which cover a variety of topics. The four primary sections of the exam are market overview and products, professional conduct and regulatory requirements, trading activities, and maintaining books and records and trade reporting. In order to pass the exam, test-takers must answer 70% of the questions correctly within a three-hour time limit. This creates a stressful test environment where it can be difficult to reach your full potential.

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