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Securities Exam Preparation, Inc., established in 1972

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We are a consulting organization specializing in self-study test preparation for FINRA, NASAA, and  NFA exams.

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Series 55 Exam

Limited Representative - Equity Trader

 
The Series 55 exam is required for every individual who functions as an "Equity Trader", as defined by FINRA(NASD). The Series 55 exam is supposed to assure that traders have more consistent understanding of securities industry rules and practices. The 55 is not a stand-alone exam; individuals requesting registration as an Equity Trader also will be required to have the Series 7 or Series 62.

Prerequisite for the Series 55 is the Series 62 exam or the Series 7 exam.

$85.00 test fee (Form U-4) 3 hour time limit

Series 4 Test Topics

Approximate Test Questions
NASDAQ Market and Market Maker Activities 45
NASDAQ Auto Execution / Trading  9
Trade Reporting Requirements 18
General Industry Standards 28

Total 100 questions

Securities Exam Preparation, Inc. is a consulting organization specializing in self-study programs for FINRA(NASD) test preparation -- and in coordinating registration services for Investment Advisors, Broker Dealers, Commodity Trading Advisers, and Introducing Brokers.

Click Here to Order Series 55 Products
 
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Securities Exam Preparation, Inc., established in 1972, is a consulting organization specializing in
self-study test preparation for  FINRA, NASAA, and  NFA exams -- and in registration services for
Investment Advisers, Broker Dealers, Commodity Trading Advisers, and Introducing Brokers.

(800) 648-7277 (Pacific Time Zone)

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