NYSE Compliance Official Study Prep

The Series 14 exam is for managers supervising compliance at NYSE firms. It is a license normally required for firms with multiple compliance officers. Our Series 14 training course covers all of the topics that are needed to pass the NYSE Compliance exam. We provide online or text book training.

Series 14 Course and Exam Information

Topics include:
Sales Supervision Prerequisite License: None
Customer Accounts Supervision Questions on Exam:100
Primary Market Time to Complete: 180 Minutes
Secondary Market Format: Multiple Choice
Financial Responsibility Passing Grade: 70%
MSRB Rules Availability:Test is given daily (Mon-Sat)
Compliance Where: Prometric and Pearson Test Centers
Home Study Time: Generally 4 weeks (1-2hrs daily)

All online orders are shipped same day for fast ground shipping. Usually 1-3 business days.

Please choose a study method below. All Series 14 exam course material is updated for current test content. Our tests generally run 5 points more difficult than the actual exam. This is a complete self study program.


It is not available for purchase at this time.

Series 14 Book and Practice Final Exam Course

Exam Course Prep - Books, Online, Classes
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Series 4 License Series 26 License Series 56 License
Series 6 License Series 27 License Series 62 License
Series 7 License Series 30 License Series 63 License
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  Series 14 License Series 51 License Series 87 License
  Series 23 License Series 53 License Series 99 License

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