Series 14 (FINRA Series 14 — Compliance Officer) — Free Online Mock Test
Series 14 · 110 Q in 165m. Compliance officer program — regulatory framework, supervision, surveillance, financial responsibility & enforcement. Pass 70%. · Official language: English.
Series 14 exam at a glance
Series 14 full-length mock tests
Attempt 50 full-length Series 14 mock tests, each a distinct question set built on the real 60-question, 165-minute pattern — with instant scoring and section-wise analysis. The first 3 are free.
Series 14 key facts & eligibility
| Conducting body | Financial Industry Regulatory Authority (FINRA) |
|---|---|
| Official website | finra.org ↗ |
| Mode | The Compliance Official qualification (Series 14) — a principal-level exam qualifying you to act as a compliance official with oversight of a broker-dealer’s day-to-day regulatory compliance. It is a computer-based test at a Prometric centre. |
| Frequency | On demand, year-round once your firm opens a testing window. |
| Scoring & marking | The Series 14 has 110 scored questions in 3 hours, and you need 70% to pass. It spans regulatory agencies and markets, broker-dealer operations, credit and net-capital requirements, general supervision, investment banking, registration, and sales-practice compliance for customer and employee accounts. |
| Score validity | Valid while you remain registered; it lapses after a set period out of the industry unless maintained through continuing education. |
| Language | English. |
Who is eligible for Series 14?
You must be associated with and sponsored by a FINRA member firm. The Series 14 has no co-requisite exam (the SIE is neither a prerequisite nor a co-requisite).
Last verified July 2026 against FINRA — Series 14. Always confirm current details on the official website before you register.
Series 14 section breakdown
The Series 14 mock test on Wrexa Edge replicates the real exam's section structure — same names, same question count per section, same time limits. No inter-section breaks — the timer runs continuously.
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Series 14 (60 Q)
Series 14 scoring & marking scheme
Strategy: Series 14 has no negative marking. Attempt every question — blank answers cost you potential marks but cannot pull your score down.
Scale: Series 14 (pass 700/1000).
How Series 14 is conducted
- Mode
- Test format
- Backtracking
- Mark for review
Series 14 time strategy
With 60 questions in 165 minutes, you have about 165 seconds per question on average. Successful candidates aim for the following pacing on each section:
- Series 14 (60 Q)
Wrexa Edge's analytics show your actual time-per-question after every mock so you can spot which sections you're losing time on.
Series 14 topics covered
Across the 50 Wrexa Edge variants of Series 14, the following topics appear most often (sample distribution from one variant):
Series 14 (60 Q)
- FINRA — Supervision · 5
- Series 79 — Rule 144 · 2
- Series 79 — Underwriting · 2
- Series 6 — Mutual Funds · 1
- Series 63 — USA · 1
- Series 63 — Definition · 1
- Series 63 — Howey Test · 1
- Series 63 — Agent · 1
Series 14 difficulty calibration
Advanced tier. Advanced-level: high-stakes exam with rigorous content depth. Expect 4-8 months of structured prep.
Series 14 · 110 Q in 165m. Compliance officer program — regulatory framework, supervision, surveillance, financial responsibility & enforcement. Pass 70%. · Official language: English.
Verified content — Wrexa Edge's Series 14 bank has been deeply curated with real exam-aligned content (estimated 100% syllabus coverage).
How Wrexa Edge prepares you for Series 14
- Real test-day interface
- 50 distinct variants
- Detailed analytics
- Spaced repetition (Notebook)
- Optional proctoring
- Free to start
Expert take: what Series 14 really tests
The Series 14 (Compliance Official) is a principal-level exam — 110 scored questions in 3 hours, needing 70% to pass — qualifying you to oversee a broker-dealer’s day-to-day regulatory compliance. It spans regulation and markets, operations and net capital, supervision, investment banking, registration and sales-practice compliance. It has no SIE co-requisite.
Preparation tips
- Study broadly across the nine job functions — the blueprint is wide.
- Master net-capital, supervision and sales-practice compliance areas.
- Use a Series 14-specific course and question bank.
Common mistakes to avoid
- Assuming a narrow scope — the compliance blueprint is very broad.
- Expecting an SIE requirement — Series 14 has none.
Series 14 study plan
A phase-by-phase roadmap from your first concept to test-ready. Stretch or compress each phase to fit the time you have before your attempt.
- Regulatory agencies, markets and operations
- Broker-dealer operations and net capital
- Question-bank practice
- General supervision and registration
- Investment banking and sales-practice compliance
- Customer/employee account rules
- Full-length Series 14 practice exams
- Target 70%+ consistently
- Review the nine job functions
Where Series 14 can take you
A strong Series 14 result opens up these careers and higher-study paths:
- Compliance official
- Regulatory oversight
- No co-requisite
- Broad blueprint
Best books & official prep for Series 14
- Series 14 exam-prep (STC, Kaplan) — Various
- FINRA Series 14 content outline — FINRA
Official practice: Study the FINRA Series 14 content outline; it is broad, covering regulation, operations, supervision, investment banking and sales-practice compliance.
Previous-year papers: No past papers are released; use the content outline plus a prep provider’s question bank.
Frequently asked questions
- What is the Series 14 exam pattern?
- FINRA Series 14 — Compliance Officer contains 60 questions across 1 section: Series 14 (60 Q). Total duration is 165 minutes (about 165 seconds per question).
- Does Series 14 have negative marking?
- No — Series 14 has no negative marking. Each correct answer is worth 1 mark, so attempt every question.
- How is Series 14 scored?
- Scaled score range: 100 to 1000. Series 14 (pass 700/1000).
- How can I practise Series 14 online for free?
- Wrexa Edge gives you 3 free full-length Series 14 mock tests — with instant scoring, detailed explanations and analytics — plus 47 more with Pro. Start practising in under a minute, no card required.
- What is the difficulty level of Series 14?
- Series 14 is rated Advanced difficulty on Wrexa Edge. Advanced-level: high-stakes exam with rigorous content depth. Expect 4-8 months of structured prep. Series 14 · 110 Q in 165m. Compliance officer program — regulatory framework, supervision, surveillance, financial responsibility & enforcement. Pass 70%. · Official language: English.
- How long is the Series 14 exam?
- Series 14 runs for 165 minutes total. On Wrexa Edge the timer is enforced exactly as on the real exam — including no inter-section breaks.
- What topics are covered in Series 14?
- Series 14 is split into: Series 14 (60 Q). Each section is timed and weighted separately. Series 14 · 110 Q in 165m. Compliance officer program — regulatory framework, supervision, surveillance, financial responsibility & enforcement. Pass 70%. · Official language: English.
- What tools or aids are allowed during Series 14?
- No special tools are required. Note: real exam is proctored — Wrexa Edge mirrors this with a webcam-based proctoring flow you can enable.
- Is the Series 14 test adaptive?
- No — Series 14 is a fixed-form (linear) test. Every candidate sees the same number of questions per section.
- How many Series 14 mock tests does Wrexa Edge offer?
- Wrexa Edge generates 50 distinct Series 14 variants — each with different question content, not just shuffled options — the first 3 free for everyone and 47 more with Pro. That's 3000 unique practice questions in the real test-day interface.
- Is there a free Series 14 test series 2026?
- Yes. The Wrexa Edge Series 14 test series for 2026 gives you 3 free full-length mock tests (50 in total) plus subject-wise and topic-wise tests — instant scoring and detailed analysis, no card required.
- Are Series 14 previous year question–style papers included?
- Every Series 14 mock is modelled on the official exam pattern and the style of previous years' papers — the same 60-question structure, sections and marking — so your practice mirrors the real paper you'll sit.
- Which is the best free Series 14 mock test online?
- Wrexa Edge's Series 14 mock test replicates the real exam interface, timing and marking scheme, with instant score, section-wise analysis and 50 fresh variants — a strong free choice for 2026 preparation.
- Can I take the Series 14 mock test on mobile?
- Yes. Series 14 mock tests run in any browser on mobile, tablet or desktop — no app or download needed. Start on your phone and your progress and analytics sync when you sign in.
- What is the Series 14 syllabus?
- The Series 14 syllabus maps to its 1 section: Series 14 (60 Q). Wrexa Edge's mock tests cover the complete syllabus topic by topic — see the topics-covered breakdown above — so you practise every area at real exam difficulty.
- What is the eligibility for Series 14?
- You must be associated with and sponsored by a FINRA member firm. The Series 14 has no co-requisite exam (the SIE is neither a prerequisite nor a co-requisite). Wrexa Edge focuses on realistic Series 14 practice: 3 free full-length mocks in the exact exam pattern, ready whenever you are.
- When is the Series 14 exam and how should I prepare?
- Official Series 14 exam dates are announced by the conducting body for each cycle — check the latest notification for the current schedule. To be ready, follow a phased study plan and take full-length timed mocks; Wrexa Edge gives you 3 free Series 14 mocks with instant scoring so you can track your readiness week by week.
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