Series 14

Series 14
An exam administered by the Financial Industry Regulatory Authority (FINRA) for professionals seeking to become licensed compliance officers for a member firm. Anyone who seeks employment as a head compliance officer or who will be managing more than 10 compliance officers must complete the exam.

The exam consists of 100 questions, and three hours is provided for its completion. A score of 70% or better is required for passing.

Exam topics include the various industry regulatory agencies, the supervision of sales and customer accounts, the operation of both primary and secondary trading markets, and financial responsibilities for FINRA and NYSE-member firms.

The Series 14 is a comprehensive and difficult exam along the lines of the Series 7 for general securities brokers. Compliance officers are responsible for making sure that firms are obeying the regulations that keep customer accounts safe, employees in good standing with regulatory authorities, and otherwise following the rules that keep the doors to the business open.


Investment dictionary. . 2012.

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