Series 14 exam
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The Series 14 – NYSE Compliance Official
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.