FINRA Series 57 Practice Test Questions – Quick Exam Prep FINRA Securities Trader Representative Exam Summary: Vendor FINRA Exam Code Series 57 Full Exam Name FINRA Securities Trader Representative Exam Number of Questions 50 Sample Questions FINRA TD Exam Sample Questions and Answers Practice Exam FINRA Series 57 - Securities Trader Representative Exam Practice Test Passing Score 70% Time Limit 105 Minutes Series 57 Certification Syllabus: Syllabus Topics: Trading Activities - 82% Maintaining Books and Records, Trade Reporting and Clearance and Settlement - 18% Series 57 Study Guide: ● Know about FINRA Securities Trader Representative Exam book details. ● Go through FINRA Series 57 exam syllabus. ● Go through FINRA Securities Trader Representative Exam sample questions. This will give you a clear idea about the real exam. ● Enroll for Series 57 practice test on ProcessExam.com. ● Identify your weak areas from Series 57 sample exam and do more practice with system. [ Note : Sample Questions details are Given in the Description of the Video .] FINRA Securities Trader Representative Exam Sample Questions Que.: 1. Repeated settlement failures are identified during an examination. What is the most likely regulatory concern? Options: a) Pricing volatility b) Inadequate operational controls c) Excessive trading profits d) Customer suitability Answer: b) Inadequate operational controls Que.: 2. A trader submits an order with instructions to execute immediately at the best available price. Which risk is most associated with this order type? Options: a) Violation of Reg NMS b) Automatic cancellation c) Execution at an unfavorable price d) Failure to execute Answer: c) Execution at an unfavorable price Que.: 3. After executing a trade, a firm must provide the customer with a confirmation. Which rule governs this requirement? Options: a) FINRA Rule 2232 b) FINRA Rule 2010 c) FINRA Rule 5310 d) FINRA Rule 6182 Answer: a) FINRA Rule 2232 Que.: 4. Before executing a short sale, what must the firm generally obtain? Options: a) Exchange consent b) Issuer approval c) Customer confirmation d) A locate or reasonable grounds to believe shares can be borrowed Answer: d) A locate or reasonable grounds to believe shares can be borrowed Que.: 5. A broker - dealer intends to quote continuously and trade for its own account in an OTC equity security. What must the firm do to meet the regulatory definition of a market maker? Options: a) File Form 211 only b) Register as a market maker and satisfy net capital requirements c) Obtain issuer consent prior to quoting d) Trade exclusively through an ATS Answer: b) Register as a market maker and satisfy net capital requirements Unique Features Continued.... ● ProcessExam.com has provided good quality Series 57 sample questions. ● One can go through the Securities Trader Representative Exam sample questions before buying the Series 57 online practice test. ● One can take unlimited attempts to practice from the Series 57 practice test. ● It is available for two months. ● A candidate is able to measure his speed from the online practice test. ● Best Series 57 book links are also provided on the website syllabus page. Description is given below. Unique Features Continued.... ● If a candidate wants to know about Securities Trader Representative Exam training detail, our website provides information about that too. ● A candidate is able to know about his performance depending on the result section of Securities Trader Representative Exam online test. ● Marks obtained could be a motivator factor to prepare more or less depending on the result. ● Last but not the least, we have a money back policy in our website,that makes us really unique. ● Testimonials written on the website, could be helpful to choose our website, as these are shared by our valuable users, who availed our online practice test. To Know More about FINRA Series 57 Certification Get more details in the Description VISIT www.processexam.com