Varsity Tutors can help you prepare for your upcoming exam with a Series 14 course. Signing up for a Series 14 class means getting the chance to work directly with an expert on the material you need to know for your test. To get more information on Series 14 courses and how they can positively impact your study sessions, continue reading. Or, you can reach out to us today to find out how you can get started with Series 14 classes quickly.
The Series 14 exam is also commonly called the Compliance Officer Qualification Examination. The test was developed with the intent of assessing the skill level of entry-level compliance officers. To that end, the exam features questions that attempt to gauge if the test-taker is prepared to perform the job responsibilities of a compliance officer. You may have decided to take this exam if you're interested in becoming a compliance officer or if you'll be managing more than 10 compliance officers. A Series 14 prep course can help you get more out of your study sessions as you prepare for this important test.
Here's some information on the format of the test:
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Your Series 14 prep class will take place through a series of one-on-one learning sessions with your instructor. This intimate setting ensures that you can get the guidance you need without having to waste your time going through topics you may already understand. For example, if you need help with credit regulation, your tutor can spend more time with you on this during your Series 14 prep classes. You can work through each lesson at your own pace and stop to get additional help whenever you need it. This is one of the reasons why Series 14 prep courses may be a more effective and efficient way for you to get ready for the Series 14 examination.
Below, you'll find some of the topics that are covered on the Series 14 exam:
Series 14 Exam Topics (non-comprehensive)
- Regulatory agencies and their jurisdictions
- Arbitration rules and disciplinary regulations of self-regulatory organizations
- Trading practices
- SEC rules
- Record keeping
- Reporting requirements
- Capital requirements
- Credit regulation
- Day trading
- Joint back office arrangements
- General supervision
- Soft dollar arrangements
- Fixed price offerings
- Private placements
- Registration of personnel
- Customer complaints
- Definition and approval of public communications
- Regulation of telephone solicitations
Your Series 14 course can also help you develop a better set of general test-taking skills. For instance, if you've had a rough time with test anxiety in the past, your instructor can show you relaxation techniques you can use to remain calm on the day of your exam. Similarly, you can get help with things like managing your time more effectively while taking your test. In this way, your Series 14 class will be a well-rounded learning experience that is based entirely on your specific needs.
If you're interested in becoming a compliance officer, then doing well on the Series 14 exam is a great first step towards getting there. However, the test can be difficult to prepare for without any guidance. Varsity Tutors can help you get ready for your upcoming exam with a Series 14 class. If you think that you would benefit from this style of test preparation assistance, then consider reaching out to us today. We'd love to use our expertise in the test prep industry to help you get more out of your study sessions. We look forward to working with you.
Mary: Series 14 course instructor
...integral member of the firm, collaborating with other member firms and the Board of Governors, serving on committees, worked on new business initiatives, recruiting and training new hires from top universities. At the time, O'Connor was the largest market maker in the U.S. financial options exchanges and had been looking to partner with a larger financial institution. The firm entered into a joint venture with Swiss Bank creating the opportunity to become part of a...