Series 14 exam-day guide
Series 14 · Prepare for the day ahead.
Your checklist
Unexpired government-issued photo ID with signature
The name on the ID must match your registration record exactly. Bring a backup form of ID as well, but verify the test provider's specific ID requirements before test day (needs_review).
Appointment confirmation or enrollment record
Bring the confirmation number/email showing the exam name, date, time and test center. Your firm's registration department can resend it if it's lost.
Verified that the appointment is for the Series 14 (Compliance Officer) exam
Check the appointment record lists the correct exam and that your enrollment window is still open; resolve any mismatch before test day.
Arrival and parking plan with buffer time
Know the route, parking, and building security screening. Plan to arrive roughly 30 minutes early because check-in procedures take time.
Storage plan for phone, notes, and personal items
Personal items are not allowed at the workstation. Plan to leave them in a provided locker, in your car, or with a companion.
Expectation that no personal calculator, scratch paper, or pen is allowed
Test centers typically supply scratch materials, and any on-screen calculator is built into the exam software. Confirm which aids are permitted before you sit (needs_review).
Eyeglasses, medications, and personal necessities
Bring only what you genuinely need. Any testing accommodation must be requested and approved in advance; confirm the process and deadlines with the provider (needs_review).
Light snack and water for before or after the exam
Keep it simple and familiar. Confirm the center's rules on accessing personal items during unscheduled breaks (needs_review).
One-page personal summary sheet
Limit it to high-yield rules, definitions, and formulas you repeatedly miss. Review it only outside the testing room, never at the workstation.
Logistics and sleep locked in
Set two alarms, confirm transport, and tell colleagues you are unavailable for the exam block.
Awareness of retake and waiting-period rules ahead of time
FINRA imposes waiting periods between attempts after a failing score. Confirm the current schedule with your firm or the provider rather than relying on memory (needs_review).
Plan the day
Confirm the appointment, ID validity, and travel logistics. Take one final timed practice set, then stop learning new topics. Finalize your one-page summary sheet and start shifting your sleep schedule toward the exam start time.
Do a light review of only your summary sheet and your weakest two or three topics. Pack ID, confirmation, and directions. Eat a normal dinner, avoid alcohol and late-night cramming, and get a full night's sleep.
Eat a normal breakfast, arrive about 30 minutes early, and review only your summary sheet in the car or lobby. Save the final 10 minutes for calm, not for new material. Use the restroom before check-in.
Present your ID, sign in, store all belongings as instructed, and take a few slow breaths before the clock starts. If anything about the setup seems wrong (wrong exam, malfunctioning station), raise it before you begin.
Read each question completely and restate what is being asked before looking at the options. Answer the straightforward items, flag long scenario or calculation-heavy items, and do not let one hard question consume several minutes.
Check the clock at roughly the one-quarter, one-half, and three-quarter marks and adjust pace. Keep a small time reserve for the flagged items.
Use remaining time on flagged questions only. Change an answer only when you can point to a specific reason; second-guessing without a reason usually costs points.
Rules to check
The name on your photo ID must match your registration record exactly. If your legal name has changed, fix the registration before test day; the test center cannot resolve a mismatch for you.
No phones, smartwatches, notes, or study aids in the testing room. Electronics must be powered off and stored as instructed; possession at the workstation can void your score.
Do not bring a calculator, scratch paper, or writing instruments unless the provider explicitly permits them. Use only materials the test center supplies and confirm permitted aids in advance (needs_review).
Unscheduled breaks are commonly allowed, but the exam clock generally keeps running and you may need to sign out and back in. Confirm the specific break policy with the provider before you sit (needs_review).
Your pass/fail result is typically reported at the test center on your score report. The passing standard is set by FINRA; confirm the current scoring and reporting details with your firm or the provider rather than assuming a cutoff (needs_review).
A failing score triggers a waiting period before you may retake the exam, and the required wait can lengthen after repeated attempts. Confirm the current retake schedule in advance (needs_review).
The candidate agreement governs conduct: no talking, no recording, and no sharing or reproducing exam content. Violations can cancel your score and affect your registration.
If equipment fails, the screen freezes, or the environment is disruptive, raise your hand immediately and have the issue documented by test center staff before continuing or leaving.