Series 14


Series 14

Series 14 is a qualification examination administered to compliance officials at New York Stock Exchange (NYSE) registered broker/dealers. The 110-question test 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, 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. The test soon proved to be grueling, and NYSE member organizations were warned of disciplinary action if they continued operations without a Series 14 qualified compliance official after March 31 1990. The test continues to vex many aspiring compliance officials.

External links

* [http://www.nyse.com/regulation/qualexamsconted/1091545087937.html NYSE Series 14 Study Outline]
* [http://www.nyse.com New York Stock Exchange website]


Wikimedia Foundation. 2010.


Share the article and excerpts

Direct link
Do a right-click on the link above
and select “Copy Link”

We are using cookies for the best presentation of our site. Continuing to use this site, you agree with this.