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

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