Series 14 Exam — Mock Exams & Practice Tests

The Series 14 (Compliance Officer Qualification Exam) is a principal-level FINRA qualification exam focused on what a compliance officer does day-to-day: building and maintaining compliance processes, monitoring business activity, managing reporting obligations, and enforcing supervision and documentation discipline.

Key points:

• Sponsorship required: you must be associated with a FINRA member firm (or other applicable SRO member firm) to sit for Series 14.
• Corequisites: none (per FINRA).

Use this hub as your study flow:

• Overview : exam format, timing, score, and what’s tested
• Syllabus : blueprint → job functions → learning objectives (practice links included)
• Cheatsheet : compliance workflows, reporting/recordkeeping priorities, and high-yield traps
• Practice : timed mocks + targeted drills
• FAQ : eligibility, scope, and study strategy
• Resources : official FINRA links and the content outline PDF
• Updates : content changes and syllabus mapping updates

In this section

• Series 14 Mock Exams & Practice Exam Questions | FINRA Compliance Official
  Series 14 mock exams and practice exam questions for FINRA Compliance Official. Timed practice sets and detailed explanations in the FINRA Exam Prep app (web, iOS, Android).