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: £220 plus VAT

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

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