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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.

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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 ».

Syllabus