Series 53 Printed Materials


This package contains a 300 page text with over 700 exam style questions.



The Series 53 exam is required of anyone who is supervising a Municipal Securities Representative. Before taking this exam, one would need to have either the Series 7 or the Series 52.

The subject matter for this course is:

  • Sales Supervision
  • Customer Accounts
  • Uniform Practice
  • Trading Markets
  • New Issues
  • Other Rules

This textbook is over 300 pages of concise information, including over 700 simulated exam questions. All questions have answers and complete rationales to help reinforce the learning.

FINRA exam preparation is provided in partnership with Passperfect® Associates.

Look Inside

Alternative text - include a link to the PDF!

Study FAQ

Series 53 Study Tips

Series 53 FAQ's

  Series 53 Study Tips

Read each section - Review all questions and detailed explanations, continue this process throughout the chapters.

Add some variety to your study process by using the online databank for a complete overview of all the topics learned

Score a minimum of 76-78% on all Series 53 quizzes and practice exams before moving to the next topic.

Take regular breaks, about 15 minutes for 2 hours of study

For client support or instructor assistance with Series 53 call 800-795-5347 or email

  Series 53 FAQ's

How many questions are on the exam? 100 multiple choice questions, plus you should be prepared to see an additional 3 to 10 questions on your examination. These questions are “pre-test” type questions. You will be provided more time for these questions and the score from these questions are NOT counted against you.

How long is the exam? 3 hours

How is the exam set up? You should anticipate a “bell-curve” exam. Which means the exam will start out at an easier level. As you progress through the exam, approaching the middle of the exam, test questions will become more difficult. As you near the end of the exam, questions will once again become easier.

Where do I take the Series 53 examination? The Series 53 examination is a proctored exam and must be taken at a qualified exam center. To locate the one nearest you, please see

Is there an examination fee for the Series 53? Yes, $265

Am I allowed to take a calculator into the exam center? No, however, the exam center will provide a calculator upon request. Will I be allowed to take paper into the exam center? No, however, the exam center will provide scratch paper.

Do I have to be sponsored to take this examination? Yes

What is the required pass rate for the Series 53 examination? 70%

Are there pre-requisites? Yes, Series 52