Learn the personnel and firm-registration framework that Series 14 expects a compliance officer to oversee.
The seventh Series 14 chapter returns to registration, but from the broad compliance-officer perspective rather than the narrower exam-specific registration roots in other licenses. The compliance officer has to monitor how personnel and firms are registered, terminated, disclosed, and supervised across multiple business lines and potential disciplinary scenarios.
Read this chapter as the registration-governance layer. It covers both the human side of registration and the forms and systems that support proper filings.