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Section 1
Series 57 Content Outline 1.1.1 — Payments for market making — Foundation
Preview
Preview: F1: Trading Activities
Preview includes- 4 of 5 lesson topics
- 1 overview segment
- 3 core concepts
- 2 exam tips
Lesson Topics
- Payments for Market Making
- FINRA Rule 5250
- Core requirement
- Exam application
Overview
Know when compensation connected to publishing quotations or acting as a market maker is prohibited and when a stated exception applies.
Core Concepts
- Rule 5250 bars a member or associated person from accepting direct or indirect payment or other consideration from an issuer, affiliate, or promoter for publishing a quotation, acting as a market maker, or submitting a related application.
- Permitted categories include payment for bona fide services (such as legitimate investment-banking services), reimbursement of specified SEC/state registration or SRO listing fees, and payments expressly permitted by effective national-securities-exchange rules.
- The exam turns on who is paying, what the payment is for, and whether a real rule-based exception—not a business justification—applies.
Exam Tips
- Read the payor and purpose before looking at the amount.
- Do not invent an exception from customer benefit, liquidity, sophistication, or after-the-fact approval.
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Section 2
Series 57 Content Outline 1.1.1 — Payments for market making — Rules & Numbers
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Section 3
Series 57 Content Outline 1.1.1 — Payments for market making — Scenario Application
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Section 4
Series 57 Content Outline 1.1.1 — Payments for market making — Exam Traps & Rapid Recall
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Section 5
Series 57 Content Outline 1.1.1 — Market-maker identifiers and registration — Foundation
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Section 6
Series 57 Content Outline 1.1.1 — Market-maker identifiers and registration — Rules & Numbers
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Section 7
Series 57 Content Outline 1.1.1 — Market-maker identifiers and registration — Scenario Application
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Section 8
Series 57 Content Outline 1.1.1 — Market-maker identifiers and registration — Exam Traps & Rapid Recall
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Section 9
Series 57 Content Outline 1.1.2 — Stop versus stop-limit orders — Foundation
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Section 10
Series 57 Content Outline 1.1.2 — Stop versus stop-limit orders — Rules & Numbers
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Section 11
Series 57 Content Outline 1.1.2 — Stop versus stop-limit orders — Scenario Application
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Section 12
Series 57 Content Outline 1.1.2 — Stop versus stop-limit orders — Exam Traps & Rapid Recall
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Section 13
Series 57 Content Outline 1.1.2 — Time-in-force and order instructions — Foundation
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Section 14
Series 57 Content Outline 1.1.2 — Time-in-force and order instructions — Rules & Numbers
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Section 15
Series 57 Content Outline 1.1.2 — Time-in-force and order instructions — Scenario Application
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Section 16
Series 57 Content Outline 1.1.2 — Time-in-force and order instructions — Exam Traps & Rapid Recall
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Section 17
Series 57 Content Outline 1.1.3 — Pre-trade credit and capital controls — Foundation
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Section 18
Series 57 Content Outline 1.1.3 — Pre-trade credit and capital controls — Rules & Numbers
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Section 19
Series 57 Content Outline 1.1.3 — Pre-trade credit and capital controls — Scenario Application
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Section 20
Series 57 Content Outline 1.1.3 — Pre-trade credit and capital controls — Exam Traps & Rapid Recall
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Section 21
Series 57 Content Outline 1.1.3 — Control and authorization of market access — Foundation
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Section 22
Series 57 Content Outline 1.1.3 — Control and authorization of market access — Rules & Numbers
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Section 23
Series 57 Content Outline 1.1.3 — Control and authorization of market access — Scenario Application
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Section 24
Series 57 Content Outline 1.1.3 — Control and authorization of market access — Exam Traps & Rapid Recall
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Section 25
Series 57 Content Outline 1.1.4 — Clearly erroneous transactions — Foundation
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Section 26
Series 57 Content Outline 1.1.4 — Clearly erroneous transactions — Rules & Numbers
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Section 27
Series 57 Content Outline 1.1.4 — Clearly erroneous transactions — Scenario Application
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Section 28
Series 57 Content Outline 1.1.4 — Clearly erroneous transactions — Exam Traps & Rapid Recall
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Section 29
Series 57 Content Outline 1.1.5 — Alternative trading systems and the ADF — Foundation
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Section 30
Series 57 Content Outline 1.1.5 — Alternative trading systems and the ADF — Rules & Numbers
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Section 31
Series 57 Content Outline 1.1.5 — Alternative trading systems and the ADF — Scenario Application
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Section 32
Series 57 Content Outline 1.1.5 — Alternative trading systems and the ADF — Exam Traps & Rapid Recall
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Section 33
Series 57 Content Outline 1.1.6 — Payments influencing market price — Foundation
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Section 34
Series 57 Content Outline 1.1.6 — Payments influencing market price — Rules & Numbers
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Section 35
Series 57 Content Outline 1.1.6 — Payments influencing market price — Scenario Application
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Section 36
Series 57 Content Outline 1.1.6 — Payments influencing market price — Exam Traps & Rapid Recall
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Section 37
Series 57 Content Outline 1.1.6 — Front running of block transactions — Foundation
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Section 38
Series 57 Content Outline 1.1.6 — Front running of block transactions — Rules & Numbers
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Section 39
Series 57 Content Outline 1.1.6 — Front running of block transactions — Scenario Application
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Section 40
Series 57 Content Outline 1.1.6 — Front running of block transactions — Exam Traps & Rapid Recall
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Section 41
Series 57 Content Outline 1.1.6 — Trading ahead of research reports — Foundation
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Section 42
Series 57 Content Outline 1.1.6 — Trading ahead of research reports — Rules & Numbers
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Section 43
Series 57 Content Outline 1.1.6 — Trading ahead of research reports — Scenario Application
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Section 44
Series 57 Content Outline 1.1.6 — Trading ahead of research reports — Exam Traps & Rapid Recall
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Section 45
Series 57 Content Outline 1.1.6 — Anti-intimidation and coordination — Foundation
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Section 46
Series 57 Content Outline 1.1.6 — Anti-intimidation and coordination — Rules & Numbers
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Section 47
Series 57 Content Outline 1.1.6 — Anti-intimidation and coordination — Scenario Application
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Section 48
Series 57 Content Outline 1.1.6 — Anti-intimidation and coordination — Exam Traps & Rapid Recall
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Section 49
Series 57 Content Outline 1.1.6 — Order splitting for rebates — Foundation
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Section 50
Series 57 Content Outline 1.1.6 — Order splitting for rebates — Rules & Numbers
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Section 51
Series 57 Content Outline 1.1.6 — Order splitting for rebates — Scenario Application
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Section 52
Series 57 Content Outline 1.1.6 — Order splitting for rebates — Exam Traps & Rapid Recall
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Section 53
Series 57 Content Outline 1.1.6 — Spoofing and disruptive quoting — Foundation
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Section 54
Series 57 Content Outline 1.1.6 — Spoofing and disruptive quoting — Rules & Numbers
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Section 55
Series 57 Content Outline 1.1.6 — Spoofing and disruptive quoting — Scenario Application
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Section 56
Series 57 Content Outline 1.1.6 — Spoofing and disruptive quoting — Exam Traps & Rapid Recall
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Section 57
Series 57 Content Outline 1.1.6 — Material nonpublic information — Foundation
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Section 58
Series 57 Content Outline 1.1.6 — Material nonpublic information — Rules & Numbers
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Section 59
Series 57 Content Outline 1.1.6 — Material nonpublic information — Scenario Application
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Section 60
Series 57 Content Outline 1.1.6 — Material nonpublic information — Exam Traps & Rapid Recall
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Section 61
Series 57 Content Outline 1.1.7 — Bona fide quotations — Foundation
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Section 62
Series 57 Content Outline 1.1.7 — Bona fide quotations — Rules & Numbers
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Section 63
Series 57 Content Outline 1.1.7 — Bona fide quotations — Scenario Application
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Section 64
Series 57 Content Outline 1.1.7 — Bona fide quotations — Exam Traps & Rapid Recall
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Section 65
Series 57 Content Outline 1.1.7 — Firm quotations and backing away — Foundation
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Section 66
Series 57 Content Outline 1.1.7 — Firm quotations and backing away — Rules & Numbers
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Section 67
Series 57 Content Outline 1.1.7 — Firm quotations and backing away — Scenario Application
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Section 68
Series 57 Content Outline 1.1.7 — Firm quotations and backing away — Exam Traps & Rapid Recall
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Section 69
Series 57 Content Outline 1.1.7 — Trading during regulatory halts — Foundation
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Section 70
Series 57 Content Outline 1.1.7 — Trading during regulatory halts — Rules & Numbers
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Section 71
Series 57 Content Outline 1.1.7 — Trading during regulatory halts — Scenario Application
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Section 72
Series 57 Content Outline 1.1.7 — Trading during regulatory halts — Exam Traps & Rapid Recall
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Section 77
Series 57 Content Outline 1.2.1 — Regulation M — distribution participants — Foundation
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Section 78
Series 57 Content Outline 1.2.1 — Regulation M — distribution participants — Rules & Numbers
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Section 79
Series 57 Content Outline 1.2.1 — Regulation M — distribution participants — Scenario Application
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Section 80
Series 57 Content Outline 1.2.1 — Regulation M — distribution participants — Exam Traps & Rapid Recall
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Section 81
Series 57 Content Outline 1.2.1 — Regulation M — issuers and selling security holders — Foundation
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Section 82
Series 57 Content Outline 1.2.1 — Regulation M — issuers and selling security holders — Rules & Numbers
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Section 83
Series 57 Content Outline 1.2.1 — Regulation M — issuers and selling security holders — Scenario Application
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Section 84
Series 57 Content Outline 1.2.1 — Regulation M — issuers and selling security holders — Exam Traps & Rapid Recall
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Section 85
Series 57 Content Outline 1.2.1 — Regulation M — passive market making — Foundation
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Section 86
Series 57 Content Outline 1.2.1 — Regulation M — passive market making — Rules & Numbers
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Section 87
Series 57 Content Outline 1.2.1 — Regulation M — passive market making — Scenario Application
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Section 88
Series 57 Content Outline 1.2.1 — Regulation M — passive market making — Exam Traps & Rapid Recall
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Section 89
Series 57 Content Outline 1.2.1 — Regulation M — stabilizing transactions — Foundation
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Section 90
Series 57 Content Outline 1.2.1 — Regulation M — stabilizing transactions — Rules & Numbers
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Section 91
Series 57 Content Outline 1.2.1 — Regulation M — stabilizing transactions — Scenario Application
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Section 92
Series 57 Content Outline 1.2.1 — Regulation M — stabilizing transactions — Exam Traps & Rapid Recall
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Section 93
Series 57 Content Outline 1.2.1 — Regulation M — short sales before an offering — Foundation
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Section 94
Series 57 Content Outline 1.2.1 — Regulation M — short sales before an offering — Rules & Numbers
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Section 95
Series 57 Content Outline 1.2.1 — Regulation M — short sales before an offering — Scenario Application
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Section 96
Series 57 Content Outline 1.2.1 — Regulation M — short sales before an offering — Exam Traps & Rapid Recall
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Section 97
Series 57 Content Outline 1.2.2 — Initiating OTC quotations and Rule 15c2-11 — Foundation
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Section 98
Series 57 Content Outline 1.2.2 — Initiating OTC quotations and Rule 15c2-11 — Rules & Numbers
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Section 99
Series 57 Content Outline 1.2.2 — Initiating OTC quotations and Rule 15c2-11 — Scenario Application
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Section 100
Series 57 Content Outline 1.2.2 — Initiating OTC quotations and Rule 15c2-11 — Exam Traps & Rapid Recall
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Section 101
Series 57 Content Outline 1.2.2 — OTC minimum pricing increments — Foundation
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Section 102
Series 57 Content Outline 1.2.2 — OTC minimum pricing increments — Rules & Numbers
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Section 103
Series 57 Content Outline 1.2.2 — OTC minimum pricing increments — Scenario Application
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Section 104
Series 57 Content Outline 1.2.2 — OTC minimum pricing increments — Exam Traps & Rapid Recall
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Section 105
Series 57 Content Outline 1.2.2 — Display of OTC customer limit orders — Foundation
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Section 106
Series 57 Content Outline 1.2.2 — Display of OTC customer limit orders — Rules & Numbers
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Section 107
Series 57 Content Outline 1.2.2 — Display of OTC customer limit orders — Scenario Application
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Section 108
Series 57 Content Outline 1.2.2 — Display of OTC customer limit orders — Exam Traps & Rapid Recall
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Section 109
Series 57 Content Outline 1.2.3 — Options spread and combination orders — Foundation
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Section 110
Series 57 Content Outline 1.2.3 — Options spread and combination orders — Rules & Numbers
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Section 111
Series 57 Content Outline 1.2.3 — Options spread and combination orders — Scenario Application
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Section 112
Series 57 Content Outline 1.2.3 — Options spread and combination orders — Exam Traps & Rapid Recall
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Section 113
Series 57 Content Outline 1.2.3 — Option exercise and assignment — Foundation
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Section 114
Series 57 Content Outline 1.2.3 — Option exercise and assignment — Rules & Numbers
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Section 115
Series 57 Content Outline 1.2.3 — Option exercise and assignment — Scenario Application
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Section 116
Series 57 Content Outline 1.2.3 — Option exercise and assignment — Exam Traps & Rapid Recall
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Section 117
Series 57 Content Outline 1.2.3 — Options position and exercise limits — Foundation
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Section 118
Series 57 Content Outline 1.2.3 — Options position and exercise limits — Rules & Numbers
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Section 119
Series 57 Content Outline 1.2.3 — Options position and exercise limits — Scenario Application
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Section 120
Series 57 Content Outline 1.2.3 — Options position and exercise limits — Exam Traps & Rapid Recall
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Section 121
Series 57 Content Outline 1.2.4 — Short-sale order marking — Foundation
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Section 122
Series 57 Content Outline 1.2.4 — Short-sale order marking — Rules & Numbers
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Section 123
Series 57 Content Outline 1.2.4 — Short-sale order marking — Scenario Application
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Section 124
Series 57 Content Outline 1.2.4 — Short-sale order marking — Exam Traps & Rapid Recall
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Section 125
Series 57 Content Outline 1.2.4 — Short-sale price-test circuit breaker — Foundation
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Section 126
Series 57 Content Outline 1.2.4 — Short-sale price-test circuit breaker — Rules & Numbers
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Section 127
Series 57 Content Outline 1.2.4 — Short-sale price-test circuit breaker — Scenario Application
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Section 128
Series 57 Content Outline 1.2.4 — Short-sale price-test circuit breaker — Exam Traps & Rapid Recall
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Section 129
Series 57 Content Outline 1.2.4 — Locate requirement — Foundation
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Section 130
Series 57 Content Outline 1.2.4 — Locate requirement — Rules & Numbers
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Section 131
Series 57 Content Outline 1.2.4 — Locate requirement — Scenario Application
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Section 132
Series 57 Content Outline 1.2.4 — Locate requirement — Exam Traps & Rapid Recall
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Section 133
Series 57 Content Outline 1.2.4 — Close-out of fails to deliver — Foundation
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Section 134
Series 57 Content Outline 1.2.4 — Close-out of fails to deliver — Rules & Numbers
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Section 135
Series 57 Content Outline 1.2.4 — Close-out of fails to deliver — Scenario Application
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Section 136
Series 57 Content Outline 1.2.4 — Close-out of fails to deliver — Exam Traps & Rapid Recall
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Section 137
Series 57 Content Outline 1.3.1 — Best execution — Foundation
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Section 138
Series 57 Content Outline 1.3.1 — Best execution — Rules & Numbers
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Section 139
Series 57 Content Outline 1.3.1 — Best execution — Scenario Application
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Section 140
Series 57 Content Outline 1.3.1 — Best execution — Exam Traps & Rapid Recall
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Section 141
Series 57 Content Outline 1.3.1 — Adjustment of open orders — Foundation
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Section 142
Series 57 Content Outline 1.3.1 — Adjustment of open orders — Rules & Numbers
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Section 143
Series 57 Content Outline 1.3.1 — Adjustment of open orders — Scenario Application
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Section 144
Series 57 Content Outline 1.3.1 — Adjustment of open orders — Exam Traps & Rapid Recall
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Section 145
Series 57 Content Outline 1.3.1 — Fair prices and commissions — Foundation
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Section 146
Series 57 Content Outline 1.3.1 — Fair prices and commissions — Rules & Numbers
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Section 147
Series 57 Content Outline 1.3.1 — Fair prices and commissions — Scenario Application
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Section 148
Series 57 Content Outline 1.3.1 — Fair prices and commissions — Exam Traps & Rapid Recall
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Section 149
Series 57 Content Outline 1.3.1 — Extended-hours order handling — Foundation
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Section 150
Series 57 Content Outline 1.3.1 — Extended-hours order handling — Rules & Numbers
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Section 151
Series 57 Content Outline 1.3.1 — Extended-hours order handling — Scenario Application
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Section 152
Series 57 Content Outline 1.3.1 — Extended-hours order handling — Exam Traps & Rapid Recall
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Section 153
Series 57 Content Outline 1.3.2 — Trading ahead of customer orders — Foundation
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Section 154
Series 57 Content Outline 1.3.2 — Trading ahead of customer orders — Rules & Numbers
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Section 155
Series 57 Content Outline 1.3.2 — Trading ahead of customer orders — Scenario Application
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Section 156
Series 57 Content Outline 1.3.2 — Trading ahead of customer orders — Exam Traps & Rapid Recall
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Section 157
Series 57 Content Outline 1.3.2 — Manipulative devices in customer-order handling — Foundation
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Section 158
Series 57 Content Outline 1.3.2 — Manipulative devices in customer-order handling — Rules & Numbers
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Section 159
Series 57 Content Outline 1.3.2 — Manipulative devices in customer-order handling — Scenario Application
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Section 160
Series 57 Content Outline 1.3.2 — Manipulative devices in customer-order handling — Exam Traps & Rapid Recall
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Section 161
Series 57 Content Outline 1.3.3 — Regulation NMS order protection, limit display, and price increments — Foundation
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Section 162
Series 57 Content Outline 1.3.3 — Regulation NMS order protection, limit display, and price increments — Rules & Numbers
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Section 163
Series 57 Content Outline 1.3.3 — Regulation NMS order protection, limit display, and price increments — Scenario Application
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Section 164
Series 57 Content Outline 1.3.3 — Regulation NMS order protection, limit display, and price increments — Exam Traps & Rapid Recall
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Section 165
Series 57 Content Outline 2.1 — Choosing the designated reporting facility — Foundation
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Section 166
Series 57 Content Outline 2.1 — Choosing the designated reporting facility — Rules & Numbers
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Section 167
Series 57 Content Outline 2.1 — Choosing the designated reporting facility — Scenario Application
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Section 168
Series 57 Content Outline 2.1 — Choosing the designated reporting facility — Exam Traps & Rapid Recall
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Section 169
Series 57 Content Outline 2.1 — Timely NMS transaction reporting — Foundation
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Section 170
Series 57 Content Outline 2.1 — Timely NMS transaction reporting — Rules & Numbers
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Section 171
Series 57 Content Outline 2.1 — Timely NMS transaction reporting — Scenario Application
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Section 172
Series 57 Content Outline 2.1 — Timely NMS transaction reporting — Exam Traps & Rapid Recall
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Section 173
Series 57 Content Outline 2.1 — OTC equity transaction reporting timing — Foundation
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Section 174
Series 57 Content Outline 2.1 — OTC equity transaction reporting timing — Rules & Numbers
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Section 175
Series 57 Content Outline 2.1 — OTC equity transaction reporting timing — Scenario Application
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Section 176
Series 57 Content Outline 2.1 — OTC equity transaction reporting timing — Exam Traps & Rapid Recall
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Section 177
Series 57 Content Outline 2.1 — OTC equity reporting party — Foundation
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Section 178
Series 57 Content Outline 2.1 — OTC equity reporting party — Rules & Numbers
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Section 179
Series 57 Content Outline 2.1 — OTC equity reporting party — Scenario Application
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Section 180
Series 57 Content Outline 2.1 — OTC equity reporting party — Exam Traps & Rapid Recall
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Section 181
Series 57 Content Outline 2.1 — Trade-report accuracy and corrections — Foundation
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Section 182
Series 57 Content Outline 2.1 — Trade-report accuracy and corrections — Rules & Numbers
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Section 183
Series 57 Content Outline 2.1 — Trade-report accuracy and corrections — Scenario Application
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Section 184
Series 57 Content Outline 2.1 — Trade-report accuracy and corrections — Exam Traps & Rapid Recall
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Section 185
Series 57 Content Outline 2.2 — Order records and books and records — Foundation
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Section 186
Series 57 Content Outline 2.2 — Order records and books and records — Rules & Numbers
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Section 187
Series 57 Content Outline 2.2 — Order records and books and records — Scenario Application
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Section 188
Series 57 Content Outline 2.2 — Order records and books and records — Exam Traps & Rapid Recall
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Section 189
Series 57 Content Outline 2.2 — CAT event reporting — Foundation
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Section 190
Series 57 Content Outline 2.2 — CAT event reporting — Rules & Numbers
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Section 191
Series 57 Content Outline 2.2 — CAT event reporting — Scenario Application
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Section 192
Series 57 Content Outline 2.2 — CAT event reporting — Exam Traps & Rapid Recall
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Section 193
Series 57 Content Outline 2.2 — Business-clock synchronization — Foundation
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Section 194
Series 57 Content Outline 2.2 — Business-clock synchronization — Rules & Numbers
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Section 195
Series 57 Content Outline 2.2 — Business-clock synchronization — Scenario Application
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Section 196
Series 57 Content Outline 2.2 — Business-clock synchronization — Exam Traps & Rapid Recall
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Section 197
Series 57 Content Outline 2.3 — Customer confirmations and T+1 settlement — Foundation
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Section 198
Series 57 Content Outline 2.3 — Customer confirmations and T+1 settlement — Rules & Numbers
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Section 199
Series 57 Content Outline 2.3 — Customer confirmations and T+1 settlement — Scenario Application
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Section 200
Series 57 Content Outline 2.3 — Customer confirmations and T+1 settlement — Exam Traps & Rapid Recall
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