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, Manhattan, Financial District of Lower Manhattan in New York City. It is the List of stock exchanges, largest stock excha ...

(NYSE) registered

broker-dealer In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own account or on behalf of its customers. Broker-dealers are at the heart of the securities and ...

s. 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 is an Declarative knowledge, awareness of facts, a Knowledge by acquaintance, familiarity with individuals and situations, or a Procedural knowledge, practical skill. Knowledge of facts, also called propositional knowledge, is oft ...

, 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, Manhattan, Financial District of Lower Manhattan in New York City. It is the List of stock exchanges, largest stock excha ...

-member organizations were warned of

punishment Punishment, commonly, is the imposition of an undesirable or unpleasant outcome upon an individual or group, meted out by an authority—in contexts ranging from child discipline to criminal law—as a deterrent to a particular action or beh ...

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