The Series 14 – NYSE Compliance Official
exam
An examination (exam or evaluation) or test is an educational assessment intended to measure a test-taker's knowledge, skill, aptitude, physical fitness, or classification in many other topics (e.g., beliefs). A test may be administered verba ...
is a qualification examination administered to
compliance officials at
New York Stock Exchange
The New York Stock Exchange (NYSE, nicknamed "The Big Board") is an American stock exchange in the Financial District of Lower Manhattan in New York City. It is by far the world's largest stock exchange by market capitalization of its listed ...
(NYSE) registered
broker-dealers. The 110-question
test
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* Test (assessment), an educational assessment intended to measure the respondents' knowledge or other abilities
Arts and entertainment
* ''Test'' (2013 film), an American film
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is intended to ensure that individuals designated as having overall day-to-day compliance responsibilities for their firms, or who directly supervise ten or more persons engaged in compliance activity, have the
knowledge
Knowledge can be defined as Descriptive knowledge, awareness of facts or as Procedural knowledge, practical skills, and may also refer to Knowledge by acquaintance, familiarity with objects or situations. Knowledge of facts, also called pro ...
, skills, and abilities necessary to carry out their job responsibilities.
The Series 14 exam was announced on July 29, 1988 and first administered September 25, 1989.
NYSE
The New York Stock Exchange (NYSE, nicknamed "The Big Board") is an American stock exchange in the Financial District of Lower Manhattan in New York City. It is by far the world's largest stock exchange by market capitalization of its liste ...
-member organizations were warned of
punishment if they continued operations without a Series 14 qualified compliance official after March 31, 1990.
Eligibility
The Series 14 does not have a prerequisite exam.
References
{{cite web, title=Series 14 Exam, url=http://www.finra.org/industry/series14, website=FINRA
Professional certification in finance
Standardized tests in the United States
United States securities law