Passing the Equity Trader Qualification Exam (Series 55) qualifies an individual to trade equity and convertible debt securities on a principal or agency basis, after having passed either the Series 62 or Series 7 Exam. Topics covered in the test include NASDAQ and over-the-counter securities, quotation and market maker requirements, regulation of the national market system, trading and market halts, prearranged and third-party trades, anticompetitive trading practices, transactions in accounts, trade reporting requirements, insider trading regulations, and more.
Created by the experts at The Securities Institute of America, Inc., Wiley Series 55 Exam Review 2015 arms you with everything you need to pass this challenging 100-question multiple-choice test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides:
- Dozens of examples
- Assorted practice questions for each subject area covered in the exam
- Priceless test-taking tips and strategies
- Helpful hints on how to study for the test, manage stress, and stay focused
Wiley Series 55 Exam Review 2015 is your ticket to passing the Series 55 test on the first try—with flying colors!
Keywords: General Finance & Investments, Series 55, FINRA, Equity Trader Qualification Examination, exam review, Series 55 study guide, NASDAQ securities, over-the-counter securities, trading halts, market halts, third party trades, anti-competitive trading, trade reporting requirements, insider trading regulations