Series 14

NYSE Compliance Official

Series 14 is a FINRA exam required for Chief Compliance Officers and those who supervise 10 or more people engaged in compliance activities and NYSE member firms.

Exam Length
3 hours

Number of Questions
110 questions

Study Time
Around 25 hours

Minimum Passing Score
70%

FINRA member firm sponsorship is required.

 

Study Options

Standard Pack: £180 plus VAT

Homestudy (printed)
Online Final Exams
Homestudy (online)
Instructor Hotline
Crunchtime facts
Contents updates for 1 year
24/7 technical support

 

One-to-one or small group tuition, please contact us for prices

 

Delivery costs vary, please get in touch for up to date prices.