...providing liquidity to the public orders, a specialist, keeping an orderly book of all public orders, and floor manager, overseeing the daily operations. The environment was dynamic, highly demanding, requiring laser focus, preparation and stamina. An integral member of the firm, collaborating with other member firms and the Board of Governors, serving on committees, worked on new business initiatives, recruiting and training new hires from top universities. At the time, O'Connor was the largest market...
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Our interview process, stringent qualifications, and background screening ensure that only the best Series 14 tutors work with Varsity Tutors. To assure a successful experience, you're paired with one of these qualified tutors by an expert director - and we stand behind that match with our money-back guarantee.
Receive personally tailored Series 14 lessons from exceptional tutors in a one-on-one setting. We help you connect with the best tutor for your particular needs while offering flexible scheduling to fit your busy life.
Series 14 Tutoring FAQ
Series 14 is a license and exam, which is also called the New York Stock Exchange, or NYSE, Compliance Official Exam. Financial professionals who are employed by an NYSE member firm take the exam to become licensed compliance officers. The test must be taken by those who work as head compliance officers for their firm, as well as those who manage at least ten compliance officers. If either of these scenarios applies to you, you may be preparing to take the Series 14 exam soon.
If you have to take the Series 14 exam, you should start by familiarizing yourself with the format and content you'll encounter on test day. The exam has 110 multiple-choice questions, which must be answered within a three-hour time limit. You must answer at least 70% of the questions correctly in order to pass the exam and receive your Series 14 license. Professionals describe the Series 14 exam as comprehensive and difficult. It has been compared to the Series 7 exam, which is similarly difficult but taken by general securities brokers, rather than compliance officers. As you begin studying for the exam, you'll need to review topics like regulatory agencies, the supervision of customer and employee accounts, and the operation of primary and secondary capital markets.
Getting ready to take a comprehensive test like the Series 14 can be stressful. However, you don't have to go through the test preparation process alone. Instead, you can reach out to Varsity Tutors to connect with a Series 14 tutor. You can meet with your tutor online through a Live Learning Platform that features many sophisticated tools. Varsity Tutors can help you find a Series 14 tutor who is able to work with you around your existing schedule. This ensures that you won't have to sacrifice time at work or in your personal life just to get help preparing for the exam.
Private Series 14 tutoring is a great option for individuals who enjoy a personalized learning process. That's because you can work with your tutor in a one-on-one capacity. That means that each lesson your tutor provides you with is tailored to fit your specific areas of need. Additionally, your tutor is a Series 14 expert who you can ask for guidance whenever you need it. This type of assistance is unique to the tutoring process and may be just what you need to feel more confident on test day. If working with a Series 14 tutor appeals to you, get in touch with Varsity Tutors today.
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