The Series 14 – NYSE Compliance Official

exam An examination (exam or evaluation) or test is an educational assessment intended to measure a test-taker's knowledge, skill, aptitude, physical fitness, or classification in many other topics (e.g., beliefs). A test may be administered verba ...

is a qualification examination administered to compliance officials at

New York Stock Exchange The New York Stock Exchange (NYSE, nicknamed "The Big Board") is an American stock exchange in the Financial District of Lower Manhattan in New York City. It is by far the world's largest stock exchange by market capitalization of its listed ...

(NYSE) registered broker-dealers. The 110-question

test Test(s), testing, or TEST may refer to: * Test (assessment), an educational assessment intended to measure the respondents' knowledge or other abilities Arts and entertainment * ''Test'' (2013 film), an American film * ''Test'' (2014 film), ...

is intended to ensure that individuals designated as having overall day-to-day compliance responsibilities for their firms, or who directly supervise ten or more persons engaged in compliance activity, have the

knowledge Knowledge can be defined as Descriptive knowledge, awareness of facts or as Procedural knowledge, practical skills, and may also refer to Knowledge by acquaintance, familiarity with objects or situations. Knowledge of facts, also called pro ...

, skills, and abilities necessary to carry out their job responsibilities. The Series 14 exam was announced on July 29, 1988 and first administered September 25, 1989.

NYSE The New York Stock Exchange (NYSE, nicknamed "The Big Board") is an American stock exchange in the Financial District of Lower Manhattan in New York City. It is by far the world's largest stock exchange by market capitalization of its liste ...

-member organizations were warned of punishment if they continued operations without a Series 14 qualified compliance official after March 31, 1990.

Eligibility

The Series 14 does not have a prerequisite exam.

References

{{cite web, title=Series 14 Exam, url=http://www.finra.org/industry/series14, website=FINRA Professional certification in finance Standardized tests in the United States United States securities law