Series 14
Series 14
The Series 14 exam — the Compliance Officer Exam — assesses the knowledge needed to perform major job functions of a compliance officer, including expertise in compliance processes and reporting requirements.
110 Questions
3h
70%
50% - 60%
Requisites
None
Topics
- Regulatory Agencies
- Markets and Operations
- Broker-Dealer Operations
- Credit Regulation
- Capital Requirements
- General Supervision
- Investment Banking
- Registration
- Sales Practices
Retake Wait Periods
After the first or second time a candidate fails the Series 14 exam, there is a mandatory 30 day waiting period before they can take the exam again. After the third (and subsequent) fails, the waiting period increases to 6 months. The $450 exam fee applies each time they take the exam.
What’s Next
The FINRA Compliance Official Qualification Exam (Series 14) allows you to carry out day-to-day compliance responsibilities at your firm. It also allows you to supervise ten or more people engaged in compliance activities at your firm.
Prep Packages
Be confident, fully prepared, and ready to pass.
The Series 14 exam requires a solid understanding of a broad range of concepts and the ability to apply them in various scenarios. You need a comprehensive prep course that will make you feel confident, fully prepared, and ready to pass.
Looking for Study Aids?
We offer resources and materials to help get you prepped and confident.
With Us You Can
Study Smarter
Retention Over Memorization
We’ll provide you with in-depth content and practice questions that mimic the actual test — so there are no surprises come exam day.
Shorten Your Study Time
Delivering content based performance to help you move on from concepts you’ve mastered and going deeper into ones you haven’t.
Customize Your Studies
Delivering content based performance to help you move on from concepts you’ve mastered and going deeper into ones you haven’t.
Virtual, Online Classes
Led by industry experts, providing students with pertinent securities exam essentials and the knowledge needed to successfully pass.
Course Material
Your Ultimate Resource
We have created the ultimate resource to help ensure you pass — the first time. Developed by experts in FINRA licensing, our coursework incorporates everything you need to know to successfully take this important step in advancing your career.
Multi-level Assessments
Includes Quick Quizzes at the topic level.
Chapter Video Lectures
Created by expert Instructors, aligned with the book’s content.
Animated Videos
Reinforcing key concepts and test-taking strategies with simulated exam questions.
Scored and Graded Assessments
Check Your Understanding, Chapter Exams, Mid-Term Exams, and Fixed Final Exams.
Clear and concise course material
Increased efficiency in learning, allowing more time for Final Practice Exams.
Intuitive & Modern User Interface
Our LMS allows you to engage easily and keep careful track of your progress, so you can focus on learning.
