Broker Preparatory Course Series 14 Compliance Officer Exam (FINRA)

The Series 14 exam (The Compliance Officer Qualification Exam)

Thorsten Schuell will provide the means for you to undertake the Series 14 exam. The exam determines the competency of an entry-level principal to execute their job as a compliance officer and consists of 110 marked questions. Candidates will have a total time limit of three hours to complete the exam which is a National Futures Association exam. In order to pass, candidates taking the exam will have to achieve a score of 70% or above.  The exam is used to assess the candidates competency to perform the necessary job functions of a compliance officer.

The Series 14 exam content involves nine major job functions which are:

• – Regulatory agencies
• – Markets and operations
• – Broker-Dealer operations
• – Credit regulation/Capital requirements
• – General Supervision
• – Investment banking
• – Registration
• – Sales practice – Customer/employee accounts
• – Sales practice- Solicitations

Covered supervisory activities include regulatory compliance over:

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