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Series 14 is a license and exam, which is also called the New York Stock Exchange, or NYSE, Compliance Official Exam. Financial professionals who are employed by an NYSE member firm take the exam to become licensed compliance officers. The test must be taken by those who work as head compliance officers for their firm, as well as those who manage at least ten compliance officers. If either of these scenarios applies to you, you may be preparing to take the Series 14 exam soon.
If you have to take the Series 14 exam, you should start by familiarizing yourself with the format and content you'll encounter on test day. The exam has 110 multiple-choice questions, which must be answered within a three-hour time limit. You must answer at least 70% of the questions correctly in order to pass the exam and receive your Series 14 license. Professionals describe the Series 14 exam as comprehensive and difficult. It has been compared to the Series 7 exam, which is similarly difficult but taken by general securities brokers, rather than compliance officers. As you begin studying for the exam, you'll need to review topics like regulatory agencies, the supervision of customer and employee accounts, and the operation of primary and secondary capital markets.