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 ».