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Series 14: NYSE Compliance Official
Required of individuals who has general compliance responsibilities for an NYSE firm & anyone who supervises 10 or more individuals involved with compliance.

The 3 hour exam consists of 110 questions. A score of 70% is required to pass the exam.

Series 14 instruction is currently being provided on a private basis,
Please contact our office before your exam to receive additional supplements.

Series 14 Outline

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