Subscribe to receive updates

Sign up to receive updates, study tips, and special offers from Pass Perfect.

Learners

Live Class ScheduleFAQsStudent LoginBlog

Corporate

Corporate PartnershipsUniversity PartnershipsTesting Methods

Company

Contact UsOur Pass PromiseOur DifferenceOne CeriFi

Advanced Designations

Bionic TurtleMark Meldrum

Financial Planning

Dalton EducationMoney Education

Licensing

Pass Perfect

Financial Crimes

ACFCS

Tax & Accounting

Cerifi CPEdgeSpidellFast Forward Academy

Legal

LegalEdge
Terms and Conditions
Privacy Policy

© 2026 Pass Perfect, LLC. All Rights Reserved

3625 Brookside Pkwy., Suite 450, Alpharetta, GA, 30022

Learning programs powered by the best brands in the industry.

Learn More

Loading your content...

Home
  • Student Login
    • 0
0
Student Login

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. 

Visit FINRA for more info

110 Questions

Multiple Choice

3h

Duration

70%

Min Passing Score

50% - 60%

Average Passing Rate

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.

Pass Plus Pro

$

319

Course access is for 7 months from the date of purchase

pp-db-s14ppp
Features

Looking for Study Aids?

We offer resources and materials to help get you prepped and confident.

Shop Study Aids

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.

View Sample Questions

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.

View Live Class Schedule

Loading...

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.

Computer screen

FAQs

Completing the Series 14 exam opens up career opportunities in compliance and supervision within the financial industry. Obtaining additional FINRA certifications, such as the Series 24 for general securities principal or the Series 7 and Series 66 for client advising, can expand your professional options. The Series 79 exam is suitable for those interested in investment banking, while the Series 55 or Series 57 exams are relevant for equity trading. The Series 3 license allows for futures and commodities trading.

You will have two years between jobs before the license expires. When you stop working for a firm, your employer will file a Form U5 to terminate your registration. Your next employer will file a Form U4, which will re-register you. As long as you do not exceed two years between employers, your Series 14 license will remain active.

The cost to take the Series 14 exam is $350 at this time.

Yes. To take the Series 14, and any other FINRA exam besides the SIE, you must be sponsored by a FINRA-member firm.

You have three hours to complete the Series 14 exam. You are allowed to take restroom breaks during the exam. However, the clock will continue counting down.

You will need a score of 70% or higher to pass the Series 14 exam. Note that your score will be rounded down. This means that a score of 69.9% will count as 69%, which is not a passing score.

To take the Series 14, a FINRA member firm must file a Form U4 on your behalf through FINRA Gateway (This capability in Classic CRD was retired April 5, 2021). You will have to get fingerprinted and answer a lengthy set of questions about your background. Prometric is the vendor that administers the Series 14 exam at its testing centers. After your firm receives your enrollment notification from FINRA for the Series 14, you have 120 days to schedule your appointment to take the exam. You can find more details on the FINRA Test Enrollment Services System.

We recommend studying 40-50 hours over a 6-week period.

No. The Series 14 exam does not have a prerequisite exam. 

Yes. Passing the SIE, Series 7, and Series 24 exams is another way to achieve the Compliance Officer qualification. But by taking the Series 14, you can earn this with just one exam.

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.