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Investments glossary

Series 57

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Success and failure are both difficult to endure. Along with success come drugs, divorce, fornication, bullying, travel, meditation, medication, depression, neurosis and suicide. With failure comes failure.

— Joseph Heller

Previously known as Series 55, Series 57 is an exam and license administered by the Financial Industry Regulatory Authority (FINRA). Also known as the Securities Trader Representative Exam, it is required for individuals looking to be a securities trader representative. These individuals can trade equity and convertible debt securities.


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