FINRA Series 57 Top-Off Exam Prep & Study Materials
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Series 57 Top-Off Course Curriculum
Lesson 1
01 - INTRO & THE NASDAQ STOCK MARKET
Lesson 2
02 - OVER-THE-COUNTER (OTC) EQUITIES
Lesson 3
03 - REGULATION OF MARKETS
Lesson 4
04 - HANDLING CUSTOMER ORDERS
Lesson 5
05 - TRADE REPORTING
Lesson 6
06 - NEW-ISSUE MARKET
Lesson 7
07 - EQUITY MARKETS SECURITIES REGULATIONS
Lesson 8
08 - OPTIONS CONTRACTS AND STRATEGIES
Lesson 9
09 - WRAP UP
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Adam

"Class was great. Dave made everyone feel comfortable, kept the course on track and also took time to address specific questions. Material is written in a simple form, easy to understand - and explained in a way that anyone could follow."

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What should I expect on the day of my Series 57 Top-Off Exam?

On the morning of your 57 top-off exam, plan on arriving at the testing center at least 30 minutes prior to your scheduled start time.  You should bring with you government issued identification (e.g. driver's license or passport).  Make sure the last name on your I.D. is the same as your last name on your registration form with your firm.  Also make sure you don't bring expired I.D.  You will be required to leave all your personal articles in a locker outside the testing room.  The testing center will provide you with a scratch pad, a pen or marker, and a basic four function calculator.  You are not permitted to bring anything else into the actual testing room.

Where do I take the Series 57 Exam?

The exam is administered via the FINRA PROCTOR system at Prometric testing centers.

How do I schedule the Series 57 exam?

We don’t handle the scheduling of the actual exam – that typically happens through your compliance dept. The cost is dependent on the testing center you book with. When you are ready to schedule it you can contact Prometric Testing: 1-800-578-6273 or http://www.prometric.com/FINRA 

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