Series 14 study plan

Map the statutory and rule sources that drive a member firm's compliance program (Exchange Act provisions, FINRA 3000-series supervision rules, conduct rules) into a one-page outline

List and define each required element of a written compliance program, including written supervisory procedures, designation of principals, and annual review

Distinguish compliance-department responsibilities from supervisory-line responsibilities using three concrete scenarios

Build a 12-month compliance calendar template covering required annual reviews, attestations, and training

Trace the escalation path for a detected violation from registered representative through supervisor to compliance and, where required, to senior management or regulators

Identify the qualifications, registration, and continuing-education obligations of supervisory personnel

Draft a branch-office inspection checklist covering customer accounts, correspondence, outside activities, and advertising

Explain how a firm's supervisory system must be reasonably designed to achieve compliance, and apply that standard to two weak-control examples

Write written supervisory procedures for a hypothetical business line, assigning each step to a named role rather than a department

Design an exception-report review routine, including frequency, reviewer independence, and documentation of follow-up

List the triggers that require heightened supervision of a registered representative or office, and draft a heightening-supervision memo

Describe documentation standards that let a firm later prove supervision occurred

Apply suitability, know-your-customer, and communication-with-the-public standards to ten fact patterns and record the controlling rule for each

Differentiate prohibited sales practices (churning, unauthorized trading, excessive markups, misrepresentation) by their elements

Evaluate advertising and correspondence for approval, principal-review, and recordkeeping requirements

Outline handling of customer complaints from receipt through response and reporting

Classify 20 record types by retention period, storage medium, and responsible party

Diagram the trade-reporting and regulatory-notification timelines a firm must meet, marking each deadline

Apply privacy rules to three scenarios involving customer nonpublic personal information, including opt-out and sharing limits

Identify which records must be preserved as originals versus permitted electronic reproductions

Compute a firm's net capital position from a simplified balance sheet and determine whether the early-warning threshold is triggered

Apply the customer protection rule to a hypothetical reserve computation, separating customer and firm assets

Outline financial-notification obligations triggered by net capital deficiency or other specified events

Test a sample of expense, compensation, and outside-business-activity records against internal-control expectations

Synthesize all five domains into a single integrated case study of a firm facing a supervisory breakdown

Re-drill every item missed on the week-4 exam and any later quizzes until each is answered correctly twice

Build a one-page decision tree that routes a compliance question to the correct domain and rule set

Practice explaining rule requirements aloud in exam-style wording to build recall speed

Complete two full-length timed practice exams under test-day conditions

Review every missed question and tag it to a domain and a specific rule

Re-read only the highest-error notes, skipping material already mastered

Finalize a one-page pre-exam reference sheet of formulas, deadlines, and thresholds