Category: Series 57 Exam Prep

Series 57 Exam Details and become an Equity Trader What is the best way to prepare for the Series 57 exam? We get asked this question all the time. The answers is that, while everyone learns in a different way, there are certain steps that everyone must take to pass the Series 57 exam. Reading... "How To Pass The Series 57 Securities Exam"

Understanding The NASDAQ Market On The Series 57 Exam Equity Trader Examination One of the keys to passing the Series 57 exam is to make sure that you have a complete understanding of how the NASDAQ market will be tested on the Series 57 Exam. This article which was produced from material contained in our... "Understanding The NASDAQ Market"

Understanding NASDAQ Order Routing On The Series 57 Exam Equity Trader Examination One of the keys to passing the Series 57 exam is to make sure that you have a complete understanding of how order routing will be tested on the Series 57 Exam. This article which was produced from material contained in our Series... "Understanding NASDAQ Order Routing"

Mastering Trade Reporting On The Series 57 Exam Equity Trader Examination One of the keys to passing the Series 57 exam is to make sure that you have a complete understanding of how trade reporting will be tested on the Series 57 Exam. This article which was produced from material contained in our Series 57... "Mastering Trade Reporting"

Mastering Customer Limit Order Handling On The Series 57 Exam Equity Trader Examination One of the keys to passing the Series 57 exam is to make sure that you have a complete understanding of how customer limit order handling will be tested on the Series 57 Exam. This article which was produced from material contained... "Mastering Customer Limit Order Handling"

FINRA has enacted rules to ensure that broker-dealers do not execute orders at prices that are not reasonably related to the market price for a security. An Executive Vice President of FINRA’s Market Regulation Department or Transparency Services Department or any officer designated by the Executive Vice President may declare a transaction to be clearly... "Clearly Erroneous Transactions"