Series 14 Cheat Sheet.
The night-before summary, built like the exam.
Download the PDFThe numbers to remember
- 110 questions, all multiple choice.
- 3 hours (180 minutes) total time.
- 70% is the passing score.
- No corequisite exam required.
- Must be sponsored by a FINRA/SRO member firm to register.
- Effective since September 1989 — still the current version.
- Fail once: wait 15 calendar days to retake. Fail a third time: wait 60 calendar days.
- Registration stays valid 2 years after termination before it lapses.
- Listed fee: $350 on the Series 14 page (FINRA's summary table shows $450 — verify current pricing directly with FINRA).
- Alternative path: pass Series 14, or pass SIE + Series 7 + Series 24.
Content domains and weights
- Markets and Operations — 20
- General Supervision — 20
- Sales Practice – Customer/Employee Accounts — 16
- Investment Banking — 15
- Broker-Dealer Operations — 10
- Sales Practice – Solicitations — 10
- Registration — 9
- Credit Regulation/Capital Requirements — 7
- Regulatory Agencies — 3
- 110 total scored questions
High-yield review areas
- General Supervision and Markets and Operations together are 40 of 110 questions — over a third of the exam. Prioritize these first.
- The two Sales Practice domains combined add 26 questions — review both, not just one.
- Investment Banking at 15 questions is worth a dedicated review block of its own.
- Don't neglect the small domains: Registration, Credit Regulation/Capital Requirements, and Regulatory Agencies still total 19 questions combined, and every question counts equally toward your 70% target.
Top traps
- Spending equal study time on a 3-question domain and a 20-question domain instead of weighting by the blueprint.
- Assuming you can retake immediately after failing — the wait is 15 calendar days (60 after a third fail).
- Confusing the Series 14 fee figures — sources currently disagree ($350 vs $450), so confirm before you pay.
- Forgetting that registration for this exam requires firm sponsorship — you cannot self-register.
- Ignoring pacing: at 110 questions in 3 hours, don't let a handful of hard questions burn time you need for the rest of the exam.
Frequently asked questions
What should I review the night before the Series 14?
Focus on the heaviest-weighted domains first: General Supervision and Markets and Operations each carry 20 of the 110 questions, and the two Sales Practice domains together add another 26. A quick pass through the cheat sheet's numbers and weights the night before is more useful than starting new material.
How long is the real Series 14 exam?
The Series 14 gives you 3 hours to answer 110 multiple-choice questions.
What score do I need to pass the Series 14?
You need a score of 70% to pass the Series 14.
Is the Series 14 cheat sheet free and printable?
Yes, this cheat sheet is free to view and formatted so you can print it or save it for quick reference before exam day.
Do I need to take another exam alongside the Series 14?
No. The Series 14 has no corequisite exam requirement.
How soon can I retake the Series 14 if I fail?
You must wait 15 calendar days before your first retake. If you fail three times, the wait extends to 60 calendar days from your last attempt.
Sources
- 1.Series 14 – Compliance Officer Exam | FINRA.org — FINRA (accessed Aug 9, 2026)
- 2.Qualification Exam Frequently Asked Questions (FAQ) | FINRA.org — FINRA (accessed Aug 9, 2026)
- 3.1210. Registration Requirements | FINRA.org — FINRA (accessed Aug 9, 2026)
- 4.Qualification Exams | FINRA.org — FINRA (accessed Aug 9, 2026)
- 5.Co-requisites for Qualification Exams | FINRA.org — FINRA (accessed Aug 9, 2026)
- 6.Enroll for a FINRA Exam — FINRA
Official sources
Every exam fact on this page traces to a primary document published by the body that administers the exam.
- Series 14 – Compliance Officer Exam | FINRA.orgFINRAfinra.org
- 1210. Registration Requirements | FINRA.orgFINRAfinra.org
- Qualification Exam Frequently Asked Questions (FAQ) | FINRA.orgFINRAfinra.org
- Implementation and Amendment Dates of Qualification Exams | FINRA.orgFINRAfinra.org
- Co-requisites for Qualification Exams | FINRA.orgFINRAfinra.org
- Qualification Exams | FINRA.orgFINRAfinra.org
Last verified against the official exam content outline: