| 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, |
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© 2008 Knopman Financial Training V1.0 |
