Series 14 Resources — Official FINRA Links & Content Outline

Use these official resources as your source of truth.

Quick links:

• Guide Home
• Study Plan
• Cheat Sheet
• FAQ

Official source set

What to confirm before you book

• Confirm that your role actually fits the compliance officer lane rather than a broader principal or narrower supervisory path.
• Confirm that you do not need to solve a corequisite issue, because Series 14 does not have one.
• Confirm the live outline from FINRA before using older prep summaries.
• Confirm that your study plan reflects the large control and operations sections rather than the small agency and registration sections.

High-yield FINRA references

• FINRA Rule 3110 (Supervision)
• FINRA Rule 3130 (Annual Certification)
• FINRA Rule 2210 (Communications with the Public)
• FINRA Rule 3310 (Anti-Money Laundering)
• FINRA Rule 4210 (Margin Requirements)
• FINRA Rule 2241 (Research Analysts and Research Reports)

SEC references

• Exchange Act Rule 15c3-1 (Net Capital Rule)
• Exchange Act Rule 15c3-3 (Customer Protection Rule)
• Regulation T

Route-choice check

Use this before you start reading rule text:

• choose Series 14 if the role is the compliance-officer lane built around day-to-day firm compliance oversight
• do not confuse Series 14 with a broad principal path like Series 24; the role framing is different
• do not use it as a substitute for sales supervision, options supervision, or research-supervision routes
• if the real uncertainty is whether your job is a compliance-officer lane at all, resolve that first because the outline and rule set only make sense after the role boundary is clear

Strongest use of the official source set

Use the official pages in this order:

1. Start with the Series 14 exam page and outline so the topic weights stay anchored to the official compliance-officer scope.
2. Use the rule links only after the structure is clear and you need the underlying control framework.
3. Use the Study Plan, Cheat Sheet, and FAQ to turn those source documents into a working exam routine.

Common weak resource habits

• Treating Series 14 like a broad Series 24 substitute.
• Overstudying tiny sections like Regulatory Agencies while underweighting operations and supervision.
• Memorizing rules without understanding the control framework they support.
• Using isolated rule reads instead of first grounding yourself in the nine-function outline.