Series 55

DEFINITION of 'Series 55'

A securities license entitling the holder to actively participate in equity trading.

BREAKING DOWN 'Series 55'

The Series 55 exam is administered by the Financial Industry Regulatory Authority (FINRA) and covers topics such as over-the-counter and New York Stock Exchange trading practices, rules and regulations, and electronic trading systems.

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RELATED FAQS
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    Learn about the regulatory exams needed to become a limited or registered representative and the main differences between ... Read Answer >>
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    Not always. According to the Financial Industry Regulatory Authority (FINRA), (formerly National Association of Securities ... Read Answer >>
  3. Is a financial advisor required to have a degree?

    Discover the minimum educational requirements and financial licenses needed to become a financial advisor in the modern corporate ... Read Answer >>
  4. What does passing the Series 6 enable me to do?

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    Learn more about the use of Series 63 exam results and how passing information is provided to regulators and employers. Find ... Read Answer >>
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