Series 14 Exam
The Series 14 – NYSE Compliance Official exam is a qualification examination administered to compliance officials at New York Stock Exchange (NYSE) registered broker-dealers.
This article needs additional citations for verification. (September 2015) |
The 110-question test 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, 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-member organizations were warned of punishment[clarification needed] 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
"Series 14 Exam". FINRA.
This article uses material from the Wikipedia English article Series 14 exam, which is released under the Creative Commons Attribution-ShareAlike 3.0 license ("CC BY-SA 3.0"); additional terms may apply (view authors). Content is available under CC BY-SA 4.0 unless otherwise noted. Images, videos and audio are available under their respective licenses.
®Wikipedia is a registered trademark of the Wiki Foundation, Inc. Wiki English (DUHOCTRUNGQUOC.VN) is an independent company and has no affiliation with Wiki Foundation.