Series 55 Exam Information



This exam is administered by The Financial Industry Regulatory Authority (FINRA) and provides an individual with the qualifications necessary to trade equity and convertible debt securities on an agency or principal basis.

In order to be qualified with a series 55 registration an associate must also have passed either the series 7 or series 62 exam.

The exam covers the following topics:

Objective # Questions
NASDAQ and Over the Counter Markets 41
NASDAQ Display, Execution and Trading systems 17
Trade Reporting Requirements 19
General Industry Standards 23
TOTAL 100

Each candidate will be allowed 180 minutes to complete the examination. This time limit has been designed to provide enough time for all candidates to complete the exam. A score of 70% or higher is required to pass the series 55 exam.

The examination is conducted as a closed book test. Upon completion of the examination, the score for each section and the overall test score will immediately be made available to the candidate.

Study Materials From The Securities Institute of America, Inc.

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