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The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
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The Series 14 exam consists of 115 multiple-choice questions. The test is computer-based and administered at FINRA’s testing centers. The format includes questions designed to assess both theoretical knowledge and practical application of compliance principles.
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The Series 14 exam requires a solid understanding of a broad range of concepts and the ability to apply them in various scenarios. You need a comprehensive prep course that will make you feel confident, fully prepared, and ready to pass.
