SERIES 14 LICENSE

NYSE Compliance Official

The Series 14 exam is for managers supervising compliance at NYSE firms. Our Series 14 training course covers all of the topics that are needed to pass the Series 14 exam.

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.

THIS COURSE MATERIAL IS CURRENTLY BEING UPDATED.

It is not available for purchase at this time.

Series 14 Book
NYSE Compliance Official



Price: $500

 



  • Over 350 pages with subject exams following each chapter.
  • Each chapter followed with detailed examination.
  • Seven Series 14 simulated Final Exams with complete explanations.
  • 7 Final exams (700 Total Questions) with detailed answers.

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