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Home > FINRA > Series 14 Compliance Official Principal

Series 14 Compliance Official Principal
FINRA Series 14

This examination is required by the New York Stock Exchange. The Series 14 Examination is a qualification examination intended to insure the individuals designated as having day-to-day compliance responsibilities for their respective firms or who supervise ten or more people engaged in compliance activities have the knowledge necessary to carry out their job responsibilities.

The Series 14 does not require a prerequisite.

The national examination is administered in three hours with 100 multiple choice questions.

Series 14 Study Material

Series 14 Class Locations and Dates
 FINRA (formerly NASD)
Series 4
Series 6
Series 7
Series 9-10
Series 11
Series 14
Series 24
Series 26
Series 27
Series 51
Series 53
Series 55
Series 63
Series 65
Series 66
Live Class Locations and Dates
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Topic List for CFP® Certification Examination Copyright © 2005-2006, Certified Financial Planner Board of Standards, Inc. All rights reserved. Used with permission.

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and CFP (with flame logo)®, which it awards to individuals who successfully complete initial and ongoing requirements. “Keir Educational Resources is a Review Course Provider for the CFP® Certification Examination administered by Certified Financial Planner Board of Standards, Inc. CFP Board does not endorse any review course nor receive any financial remunerations from Review Course Providers.”