Definition of Series 14 Exam

The NYSE Compliance Officer Exam, or Series 14 exam, is designed to qualify a specific candidate as a compliance supervisor in member firms of the NYSE. This exam is required for any individual who supervises 10 or more compliance officers or is employed as a head compliance officer.

Topics for the Series 14 exam include:

  • Supervision of Sales
  • Customer Accounts
  • Options
  • Primary & Secondary Markets
  • Financial Responsibility

This is a 110 question, multiple-choice exam that must be completed within 3 hours. To be successful candidates must score a minimum of 70% of their Series 14 exam. The cost for this test is $335.00. Keep in mind this price only reflects the cost of the test its self and does not include any additional registration or testing fees.

Applying "Series 14 Exam" to Securities Exams:

The Series 14 exam can be taken year round at Pearson Vue testing centers. While this test is available year round, it cannot be taken on Sundays. Candidates should be aware of this fact and keep it in mind when they are scheduling their exam and choosing their testing center.

At this time there are no prerequisites for the Series 14 exam. However this exam is required for certain individuals working in the financial industry. Ideal candidates would either fall into the required category or be seeking this type of position within the financial and securities industry.

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