Series 14 Exam — Mock Exams & Practice Tests
Prepare for the FINRA Series 14 (Compliance Officer Qualification Exam) with a blueprint-aligned syllabus, a high-yield compliance officer cheat sheet, authoritative resources, and exam-style practice.
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 Cheatsheet — Compliance Officer Workflows, Rules & High-Yield Traps
High-yield FINRA Series 14 reference: supervision and WSP discipline, surveillance and exception management, books-and-records and reporting, net capital/custody basics, investment banking and MNPI controls, registration workflows, and communications/telemarketing supervision.
- Series 14 Exam Overview — Format, Weights & Eligibility
Understand FINRA Series 14 (Compliance Officer Qualification Exam) at a glance: structure, timing, passing score, job function weights, eligibility, and what’s tested.
- Series 14 FAQ — Common Questions & Quick Answers
Answers to common questions about the FINRA Series 14 exam: eligibility and sponsorship, corequisites, exam format/timing, what’s tested, and how to study.
- Series 14 Practice — Mock Exams & Topic Drills
Launch Series 14 practice: timed mocks and targeted drills mapped to FINRA’s Series 14 job functions with detailed explanations.
- Series 14 Resources — Official FINRA Links & Content Outline
Official resources for the FINRA Series 14 (Compliance Officer Qualification Exam) exam: exam page, content outline PDF, and high-yield rule references.
- Series 14 Syllabus — Blueprint & Learning Objectives
FINRA Series 14 syllabus mapped to the official job functions with clear learning objectives and quick links to targeted practice.
- Series 14 Updates — Blueprint & Content Changes
Track changes to the Series 14 study hub: syllabus mapping, cheat sheet refinements, practice coverage, resources, and copy updates.