Series 57 Exam — Mock Exams & Practice Tests

The Series 57 (Securities Trader Representative Qualification Exam) assesses the competency of an entry-level securities trader. It focuses on trading activities (market making, order handling, market access controls, prohibited practices) and on trade reporting, audit trails, and settlement.

Key points:

• Sponsorship required: you must be associated with a FINRA member firm (or other applicable SRO member firm) to sit for Series 57.
• Corequisite: you must pass SIE + Series 57 to obtain the Securities Trader Representative registration.

Use this hub as your study flow:

• Overview: exam format, timing, score, and what’s tested
• Syllabus: blueprint → job functions → learning objectives (practice links included)
• Cheatsheet: high-yield rules, workflows, and common trader traps
• Practice: timed mocks + targeted drills
• FAQ: eligibility, SIE relationship, and logistics
• Resources: official FINRA links and the Series 57 outline PDF
• Updates: content changes and syllabus mapping updates

In this section

• Series 57 Cheatsheet — Trader Workflows, Rules & High-Yield Traps
  High-yield FINRA Series 57 reference: market making/MPIDs, order types, market access controls, prohibited practices, IPO/Reg M themes, penny stock quoting basics, Reg SHO and Reg NMS concepts, trade reporting/audit trails, and settlement/confirmations.
• Series 57 Exam Overview — Format, Weights & Eligibility
  Understand the FINRA Series 57 exam at a glance: structure, timing, passing score, job functions/weights, eligibility and what to do after you pass.
• Series 57 FAQ — Common Questions & Quick Answers
  Answers to common questions about the FINRA Series 57 exam: eligibility and sponsorship, SIE corequisite, format/timing, scoring, retakes, what’s tested, and how to study.
• Series 57 Practice — Mock Exams & Topic Drills
  Launch Series 57 practice: timed mocks and targeted drills mapped to FINRA’s Series 57 job functions with detailed explanations.
• Series 57 Resources — Official FINRA Links & Content Outline
  Official resources for the FINRA Series 57 exam: exam page, content outline PDF, enrollment/scheduling, exam-day policies, and related rule references.
• Series 57 Syllabus — Blueprint & Learning Objectives
  FINRA Series 57 syllabus mapped to the official job functions with clear learning objectives and quick links to targeted practice.
• Series 57 Updates — Blueprint & Content Changes
  Track changes to the Series 57 study hub: syllabus mapping, cheat sheet refinements, practice coverage, resources, and copy updates.