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EQUITY TRADER

The Equity Trader Qualification Examination (Series 55) is used to qualify individuals seeking registration pursuant to the National Association of Securities Dealers, Inc. (NASD®) By-Laws Article II, Section 2 and Membership and Registration Rules. Registered representatives in this category of registration may trade equity and convertible debt securities on a principal or agency basis. In order to be registered in this registration category, candidates must first be qualified as either Limited Representative - Corporate Securities (Series 62) or General Securities Representative (Series 7).

This study outline has been prepared to assist NASD member firms in preparing candidates to sit for the Series 55 Examination. It may be used to structure or prepare training material and develop lecture notes and seminar programs, as well as a training aid for the candidates themselves. This outline and the test are divided into four sections, which are described below along with the number of questions in each section.

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