Series 14 - FINRA/NYSE Compliance Official
The Series 14 qualifies an individual to supervise overall compliance at FINRA/NYSE member firms. The examination consists of 110 questions to be completed in 3 hours.
The Series 14 study material is divided into the following chapters:
- Sales Supervision
- Customer Account Supervision
- Primary / Secondary Markets Supervision
- Financial Responsibility / MSRB / Treasury Auction / IA Rules
- Options Supervision
Each chapter is followed with a detailed examination. Seven Series 14 simulated Final Exams with complete explanations are provided to give the user practical experience with the exam format.
(over 350 pages, with over 1000 simulated examination questions with detailed explanations)