Preparatory Course Series 14 Compliance Officer Exam (FINRA)
Series 14 – Compliance Officer Exam
The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a compliance officer, including expertise in compliance processes and reporting requirements.
Covered supervisory activities include regulatory compliance over:
- Day-to-day activities of the firm
Information is based on contents from https://www.finra.org/registration-exams-ce/qualification-exams/series14