Do you need to become a FINRA Compliance Officer? Do you enjoy taking securities licensing exams? If your answer to both questions is yes, then you can take the Securities Industry Essentials (SIE) exam, the Series 7 General Securities Representative exam, and the Series 24 General Securities Principal exam. Nearly 400 questions of securities exam fun.
But if you need to become a FINRA Compliance Officer and you do not have a passion for taking securities licensing exams, you’re in luck! Since October 1, 2018 individuals who want to become a FINRA Compliance Officer can take the FINRA Series 14 Compliance Officer Qualification exam instead. Just 110 questions.
“We’ve helped thousands pass the Series 7, the Series 24 and the SIE exam,” Jeremy Solomon, President of Solomon Exam Prep, “we recognize that some people don’t love to take securities exams.” For those designated by their firm as having day-to-day compliance responsibilities or who supervise ten or more people engaged in compliance, FINRA has made the former NYSE Series 14 exam, the new alternative pathway to the Compliance Officer qualification.