The Series 57 exam — the Securities Trader Representative Exam — assesses the competency of an entry-level registered representative to perform their job as a securities trader representative.
The Series 57 exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a securities trader, including executing transactions in equity, preferred or convertible debt securities effected otherwise than on a securities exchange (proprietary trading).
Content Outline
The Series 57 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline comprises the two major job functions of a securities trader representative. The table below lists the allocation of exam items for each major job function.
| Major Job Functions | Number of Exam Items |
|---|---|
| (F1) Trading Activities | 41 |
| (F2) Maintaining Books and Records, Trade Reporting and Clearance and Settlement | 9 |
| TOTAL | 50 |
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