Series 14 — Compliance Official Qualification Examination
The FINRA Compliance Official Qualification Exam (Series 14) 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. Passing the SIE, Series 7, and Series 24 exams is another way to achieve the Compliance Officer qualification, but by taking the Series 14, you can earn this with just one exam. For this reason, the Series 14 is more difficult than most FINRA exams. There are no prerequisites, but to take the Series 14 exam, you must be employed and sponsored by a FINRA-member firm. Read more Series 14 FAQs.
Solomon Exam Prep’s innovative study system has helped thousands pass their securities exams. Explore Solomon’s Series 14 study materials below and get started on your path to becoming a Compliance Officer!
QUICK LOOK:
- RECOMMENDED STUDY TIME: 60-80 hours
- EXAM LENGTH: 110 questions
- EXAM TIME: 3 hours
- PASSING SCORE: 70%
- TAKING EXAM: Testing is done via Prometric
MATERIALS
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!
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 see a sample of the online Study Guide, 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).
To see a sample of the online Study Guide, click here.
If you'd like a physical book, a hard copy upgrade is available (shipping & handling will apply) that contains the same content as the online version in your Solomon account.
To see a sample of the hard copy Study Guide, click here.
Please note: This sample of the hard copy is in PDF form to show the look of the hard copy only, but Solomon Study Guides are not available as PDFs.
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
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Carol G, New York
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What does the Series 14 qualify me to do?
The FINRA Compliance Official Qualification Exam (Series 14) 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.
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How should I prepare for the Series 14 exam?
Solomon offers a complete Series 14 study program, which includes digital Study Guide and Exam Simulator. Visit the Solomon Series 14 page to learn more.
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How long should I prepare for the Series 14 exam?
We recommend studying 60-80 hours over a 6-week period.
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Do I need to be sponsored to take the Series 14 exam?
Yes. To take the Series 14, and any other FINRA exam besides the SIE, you must be sponsored by a FINRA-member firm.
CLICK HERE FOR MORE FAQS
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