Broker Preparatory Course Series 14 Compliance Officer Exam (FINRA)
Broker Preparatory Course Series 14 Compliance Officer Exam (FINRA)
£1,500.00 per member
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:
- Day-to-day activities of the firm
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