Securities Exam Preparation, Inc., established in 1972

Publishing and Professional Information Services

We are a consulting organization specializing in self-study test preparation for FINRA, NASAA, and
futures industry exams.
 

Check Out/View Cart

SERIES 14 EXAM PRODUCTS

Note: All FINRA (NASD) exams are continually being updated.
You should take your exam within 120 days of ordering your study materials!

Series 14 Exam  NYSE Compliance Official

The Series 14 exam qualifies an individual to supervise overall compliance at New York Stock Exchange member firms.  

The exam covers:  supervision of sales, customer accounts, options, primary/secondary markets, and financial responsibility.  There are 110 questions.

There are no prerequisite exams.   $300 test fee   (Form U-4)   3 hour time limit.

 

Series 14 Exam Study Text

STUDY TEXT
The product is currently being updated and is not available. No target date has been set.


Securities Exam's 350+ plus page study program is divided into the five key categories of the exam with quizzes interspersed throughout the chapters.

All questions have thorough explanations.  Seven "exam-tough" final exams will make sure there are no surprises. Over 1,000 questions in total.

 

Be sure to check out our other products:

 

Back to top
 
 
 
Home | Study Programs | Consulting Services | Professional Designations | Insurance Pre-Study | Insurance Continuing Education
How Do I? | Test Locations, Links & Jobs | Contact Us
Securities Exam Preparation, Inc., established in 1972, is a consulting organization specializing in
self-study test preparation for  FINRA, NASAA, and futures industry exams -- and in registration services for
Investment Advisers, Broker Dealers, Commodity Trading Advisers, and Introducing Brokers.

(800) 648-7277 (Pacific Time Zone)

Copyright 1997-2010© Securities Exam Preparation, Inc. All rights reserved.