Series 14 Resources — Official FINRA Links & Content Outline

Use these official resources as your source of truth.

Exam page & outline

• Series 14 exam page (FINRA): https://www.finra.org/registration-exams-ce/qualification-exams/series14
• Series 14 Content Outline (PDF): https://www.finra.org/sites/default/files/Series_14_Outline.pdf

Registration rules

• FINRA Rule 1210 (registration requirements): https://www.finra.org/rules-guidance/rulebooks/finra-rules/1210
• FINRA Rule 1220(a)(3) (Compliance Officer): https://www.finra.org/rules-guidance/rulebooks/finra-rules/1220

High-yield rule references (Series 14 scope, high level)

• Supervision (FINRA Rule 3110): https://www.finra.org/rules-guidance/rulebooks/finra-rules/3110
• Annual certification (FINRA Rule 3130): https://www.finra.org/rules-guidance/rulebooks/finra-rules/3130
• Communications with the Public (FINRA Rule 2210): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2210
• AML (FINRA Rule 3310): https://www.finra.org/rules-guidance/rulebooks/finra-rules/3310
• Margin Requirements (FINRA Rule 4210): https://www.finra.org/rules-guidance/rulebooks/finra-rules/4210
• Research analysts and research reports (FINRA Rule 2241): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2241

SEC references (high level)

• Net Capital Rule (Exchange Act Rule 15c3-1): https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.15c3-1
• Customer Protection Rule (Exchange Act Rule 15c3-3): https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.15c3-3
• Regulation T (credit by brokers and dealers): https://www.ecfr.gov/current/title-12/chapter-II/subchapter-A/part-220