Series 14 — Compliance Official Qualification Examination

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Exam Simulator
EXAM SIMULATOR

Designed to work with the Solomon Series 14 Study Guide, the Solomon Series 14 Exam Simulator offers thousands of practice questions so you can hone, track and assess your knowledge. Once you’ve read the Study Guide, the Exam Simulator allows you to use and practice what you’ve learned. 

Sample a FREE demo of our Series 14 Online Exam Simulator here!



Designed to work with the Solomon Series 14 Study Guide, the Solomon Series 14 Exam Simulator offers thousands of practice questions so you can hone, track and assess your knowledge. Once you’ve read the Study Guide, the Exam Simulator allows you to use and practice what you’ve learned.

The 180-day subscription to the Solomon Series 14 Exam Simulator offers:

• Over 2,400 original Series 14 practice questions with robust rationales which clearly explain why a specific answer is correct.

• Questions updated continually to keep up with regulatory and industry changes

• Self-assessment tools that helps you identify areas that require more study.  

• An unlimited number of 10-question quizzes based on Solomon Study Guide chapters  

• An unlimited number of 110-question untimed practice exams with immediate answer feedback

• An unlimited number of 110-question timed practice exams

Exam simulator subscriptions are limited to one individual.

Sample a FREE demo of our Series 14 Online Exam Simulator here!
Study Guide
ONLINE STUDY GUIDE

The Solomon Series 14 Study Guide, written in clear easy-to-understand language, contains the information you need to know to pass your exam. Comprehensive and continually updated, the Solomon Series 14 Study Guide has helped thousands pass their exam. The Study Guide contains charts, graphs and practice questions.

To view a sample click here


The Solomon Series 14 Study Guide, written in clear easy-to-understand language, contains the information you need to know to pass your exam. Comprehensive and continually updated, the Solomon Series 14 Study Guide has helped thousands pass their exam. The Study Guide contains charts, graphs and practice questions.

The Study Guide is available in your online Solomon account (this digital guide requires Internet connection and is not downloadable). If you would like a physical book, a hard copy upgrade is available (shipping & handling will apply) that contains the same content as the online edition in your Solomon account.

To view a sample click herePlease note: This is a pdf sample from the hard copy edition. If you want this look, you must purchase the hard copy upgrade.

WHAT CUSTOMERS SAY ABOUT SOLOMON'S COMPLIANCE OFFICIAL QUALIFICATION EXAMINATION

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

ADDITIONAL FEATURES
STRENGTH BREAKDOWNS
Refine your Exam Simulator practice with detailed exam results. Solomon reports analyze which topics you’re strong in and which require more study so that you can focus your attention on the subjects that need your attention the most.
ASK THE PROFESSOR
Solomon students can click the Ask the Professor button and get:

  • A speedy response
  • Direct access to Solomon professors
  • Personalized help

"The Ask the Professor and live chat features were excellent!"

Carol G, New York
STUDY SCHEDULES
Interactive online study schedules help you master the exam study material with maximum efficiency. Choose a study schedule based on your timeline and expected exam date. You can edit, delete, and check off completed items or create custom items. You’ll find detailed instructions for what to do every step of the way.
INTERACTIVE REVIEW
This Exam Simulator feature makes it easy to review the questions you’ve gotten wrong on quizzes and exams. The interactive review is untimed, ungraded and you receive immediate feedback on your answers.
FREQUENTLY ASKED QUESTIONS ABOUT THE SERIES 14

What does the Series 14 qualify me to do?

The Series 14 exam allows you to carry out day-to-day compliance responsibilities at your firm.  It also allows you to supervise ten or more people engaged in compliance activities at your firm.     

What subjects does the exam test?

The Series 14 includes nine sections. Those sections, with the total number of test questions from each section, are:

  • Regulatory Agencies: 3 questions 
  • Markets and Operations: 20 questions 
  • Broker-Dealer Operations: 10 questions 
  • Credit Regulation/Capital Requirements:  7 questions 
  • General Supervision: 20 questions 
  • Investment Banking: 15 questions 
  • Registration: 9 questions
  • Sales Practice – Customer/ Employee Accounts: 16 questions 
  • Sales Practice – Solicitations: 10 questions  

Do you need to be sponsored by a FINRA-member firm to take the exam?

Yes.  To take the Series 14, and any other FINRA exam besides the SIE, you must be sponsored by a FINRA-member firm.  

Where can I take the test?

You can schedule your exam on a 24/7 basis by visiting www.prometric.com. This site can accommodate online registration, as well as give you information on the closest testing center. Rescheduling and refunds are also handled via Prometric.

SERIES 14 PRODUCT SAMPLES

STUDY GUIDE

Guide Sample

EXAM SIMULATOR

Number of Questions10
Time DurationUntimed
Answer Feedback
Instant validation and rationale
Percentage required to pass70%
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