Securities Exam Preparation, Inc., established in 1972

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

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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 Advisors, Broker Dealers, Commodity Trading Advisors, and Introducing Brokers.


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