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Welcome to Study Guides and Cadet Resources. These study guides, worksheets, and reviews will help you prepare for your exams. Additionally, you may find these resources critical to being successful in your milestone exams, as they are developed from the books and not the interactives.
The Series 14 Content Outline provides a comprehensive guide to the range of compliance, regulatory and supervision topics covered on the exam, as well as the depth of knowledge required.
The Solomon Series 14 Study Guide, written in clear easy-to-understand language, contains the information you need to know to pass your exam. Comprehensive and continually updated, the Solomon Series 14 Study Guide has helped thousands pass their exam.
The FINRA Series 14 exam is a pivotal qualification for individuals aspiring to become Compliance Officers in the securities industry. It covers essential topics related to compliance, regulatory requirements, and firm oversight.
Mod 1 Ch 1 - The Wing. Mod 1 Ch 1 - The Importance of Angle of Attack. Mod 1 Ch 1 - The Four Forces. Mod 1 Ch 1 - The Three Axes. Mod 1 Ch 1 -The Aerodynamics of a Propeller. Mod 1 Ch 1 - UAV - Unmanned Aerial Vehicles. Mod 1 Ch 1 - The Big Bird - Global Hawk. Mod 1 Ch 2 - To Fly by the Lifting Power of Rising Air.
Practice Test for Series 14 Exam Prep. The Series 14 Exam is a principal level licensing exam that qualifies a person as a Compliance Officer. STC’s working experience with compliance officers makes us the best choice when preparing for this challenging exam.
The Series 14 exam — the Compliance Officer Exam — assesses the knowledge needed to perform major job functions of a compliance officer, including expertise in compliance processes and reporting requirements.
