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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).

On this page

Train Series 14 like a job-sim: identify the risk, apply the right control, escalate appropriately, and document.

Start practicing (web app)

Interactive Practice Center

Start a practice session for Series 14 below, or open the full app in a new tab. For the best experience, open the full app in a new tab and navigate with swipes/gestures or the mouse wheel—just like on your phone or tablet.

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A small set of questions is available for free preview. Subscribers can unlock full access by signing in with the same account used on mobile.

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If you already subscribe in the mobile app, sign in with the same account on web to continue on desktop.

Practice modes

Full-length mock exam (timed)
Build endurance and speed across all nine job functions.

Job-function drills (F1–F9)
Fix weak areas fast by drilling one function at a time.

Miss review
Rework misses until you can explain which control the wrong answers violate.

Timing tip

Real exam pacing is about 110 items in 180 minutes (~98 seconds per item).

Series 14 at a glance (FINRA)

  • Items: 110
  • Time: 3 hours (180 minutes)
  • Format: Multiple choice
  • Passing score: 70
  • Cost: $350
  • Corequisites: none
  • Effective date: 09/1989 – present

What Series 14 tests (job functions)

Series 14 is organized by nine major job functions (FINRA item allocations shown):

  • F1 — Regulatory Agencies — 3% (3 items)
  • F2 — Markets and Operations — 18% (20 items)
  • F3 — Broker‑Dealer Operations — 9% (10 items)
  • F4 — Credit Regulation/Capital Requirements — 6% (7 items)
  • F5 — General Supervision — 18% (20 items)
  • F6 — Investment Banking — 14% (15 items)
  • F7 — Registration — 8% (9 items)
  • F8 — Sales Practice: Customer/Employee Accounts — 15% (16 items)
  • F9 — Sales Practice: Solicitations — 9% (10 items)

Eligibility (important)

Series 14 requires firm sponsorship. You must be associated with a FINRA member firm (or other applicable SRO member firm) to enroll and test.

✅ Next: work through the Series 14 syllabus » and then start timed drills in Practice » .