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Award-Winning Series 14A - NYSE DMM Compliance Official Examination Tutors

Kate

Certified Tutor

Kate

Masters, Environmental Engineering
Kate's other Tutor Subjects
AP Calculus BC
AP Calculus AB
College Algebra
Pre-Calculus

I'm available to tutor biology, chemistry, physics, math from Algebra up through AP Calculus, SAT test prep, and French. I've been tutoring students in science and math for 7 years. I also spent 8 months working and studying in France, and have tutored high school and adult students in French. When ...

Education

Massachusetts Institute of Technology

Masters, Environmental Engineering

Massachusetts Institute of Technology

Bachelors

Test Scores
SAT
1580
Jai

Certified Tutor

9+ years

Jai

Bachelors in Electrical Engineering and Computer Science
Jai's other Tutor Subjects
Calculus
Algebra
Electrical Engineering
ACT Writing

I'm a recent Stanford graduate (Electrical Engineering and Computer Science), and have been working at a major Management Consulting firm for a few years now. I personally scored a 2360 (out of 2400) on the SAT and 35 on the ACT and was successful in gaining admission to several top universities. I'...

Education

Stanford University

Bachelors in Electrical Engineering and Computer Science

Test Scores
SAT
1590
ACT
35
Jessica

Certified Tutor

Jessica

PHD, Medicine
Jessica's other Tutor Subjects
College Algebra
Calculus
Algebra
Honors Chemistry

I am a licensed physician from Florida who is currently changing careers. I graduated from the University of Pennsylvania in 2009 and have extensive tutoring and editing experience. While a student, I became a certified writing tutor through the Critical Writing Department. Since I completed my writ...

Education

Nova Southeastern University

PHD, Medicine

University of Pennsylvania

Bachelors, History

University of Pennsylvania

undergraduate

Test Scores
SAT
1540
Rhea

Certified Tutor

6+ years

Rhea

Bachelor of Science, Biology, General
Rhea's other Tutor Subjects
AP Statistics
AP Calculus BC
AP Calculus AB
Pre-Algebra

I am a current student at the University of Chicago. I am working towards a Bachelor of Science in Biological Sciences, and I am on the pre-medical track. I am extremely passionate about tutoring, and I have several years of experience tutoring students in my high school's learning center in various...

Education

University of Chicago

Bachelor of Science, Biology, General

Test Scores
Perfect Score
SAT
1550
ACT
36
Jeffrey

Certified Tutor

6+ years

Jeffrey

Doctor of Philosophy, Mechanical Engineering
Jeffrey's other Tutor Subjects
Pre-Calculus
Geometry
Calculus
Algebra

I am enrolled in the Mechanical Engineering PhD program at Rice University which will begin Fall 2020, and I am hoping to return to academia as a professor after earning my PhD. In the meantime, I am looking to share my passion for gaining knowledge, specifically in STEM, by educating the up and com...

Education

University of Notre Dame

Bachelor of Science

Rice University

Doctor of Philosophy, Mechanical Engineering

Test Scores
ACT
34
Erika

Certified Tutor

Erika

Master of Public Policy, Public Policy
Erika's other Tutor Subjects
Pre-Algebra
Middle School Math
Calculus
Algebra

I am available to tutor middle and high school math, history and test prep. I have tutored math and history in the past and I previously taught a test prep course at a school in Hanoi, Vietnam. I have a lot of experience teaching all the need-to-know tricks to doing great on the SATS/ACTS! When I am...

Education

Harvard University

Master of Public Policy, Public Policy

Test Scores
ACT
32
Sharon

Certified Tutor

9+ years

Sharon

Master of Science, Journalism
Sharon's other Tutor Subjects
Pre-Algebra
Middle School Math
Calculus
Algebra

I am a graduate of the University of Chicago, and I will be starting a graduate program at Columbia in August. I am about to complete a year of service with City Year, an education non-profit that places young adults into under-served schools. As a City Year member, I worked full-time in the classro...

Education

Columbia University in the City of New York

Master of Science, Journalism

University of Chicago

Bachelor in Arts

Test Scores
SAT
1550
Matthew

Certified Tutor

Matthew

Bachelors in Human Biology (concentration in Bioinformatics and Stem Cell Science)
Matthew's other Tutor Subjects
Pre-Algebra
College Algebra
Algebra 3/4
Arithmetic

I'm a highly creative person who works best with visual thinkers. Very recently graduated from Stanford University, I majored in Human Biology with a concentration in Bioinformatics and Stem Cell Science. Technical though my background may be, I am currently gigging as a singer/songwriter/composer i...

Education

Stanford University

Bachelors in Human Biology (concentration in Bioinformatics and Stem Cell Science)

Test Scores
SAT
1510
Tiffany

Certified Tutor

5+ years

Tiffany

Juris Doctor, Legal Studies
Tiffany's other Tutor Subjects
Pre-Algebra
Calculus
Algebra
Elementary School Math

I am available to tutor a broad range of subjects, I am passionate about test preparation, Accountancy, and Algebra.

Education

University of Notre Dame

Bachelor in Business Administration, Accounting

University of Chicago

Juris Doctor, Legal Studies

Test Scores
SAT
1440
ACT
31
Quinn

Certified Tutor

6+ years

Quinn

Bachelor in Arts
Quinn's other Tutor Subjects
Calculus
Algebra
ACT Writing
ACT English

I am willing to address any issue with an open mind and I try to develop strategies that play to a student's strengths. I would like to think I am very approachable and personable, and I have had very positive experiences with many students in the past using this philosophy. Outside of academics, I ...

Education

University of Notre Dame

Bachelor in Arts

Test Scores
ACT
35

Meet Our Expert Tutors

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Charles

AP Calculus AB Tutor • +25 Subjects

I am a junior Mechanical Engineering major at Yale, and I hope to become a Naval Aviator after college. I am also a varsity sailor, and enjoy playing music with friends when I can get some free time. I have been tutoring my fellow students throughout my entire academic career, and I would best describe my tutoring style as one that adapts to each students' needs. For example, I have always tried to frame questions in a different way so that the student can better understand the question. Some students need visual representations of numbers and systems to understand them, and others benefit more by understanding the concepts behind each formula. I prefer to tutor in math and physics, and especially with real world application problems. I hope to help students improve their standardized test scores and their understanding of the math and sciences so that they can achieve their academic goals! Hobbies: art, books, running, reading, music, writing

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Tony

Calculus Tutor • +28 Subjects

I am a recent graduate of Yale University and incoming first year medical student at Columbia University. Originally from the DC area, I have always had a passion for science and medicine and pursued a degree in Biology while at Yale. During the 2008-2009 academic year, I tutored science, math, English, history, and Mandarin Chinese part-time with a DC-based tutoring company. At Yale, I worked as a freshman counselor to provide academic and career advice to incoming freshmen. I have taken both SAT and MCAT test prep classes and am familiar with both tests as well as the preparation necessary to score well. My personal career goals include attending medical school to pursue either immunology/infectious diseases or psych/neurology, teaching biology at the university level, and working in public/global health with either the CDC or the WHO.

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Samuel

AP Calculus AB Tutor • +29 Subjects

I am a freshman at Caltech majoring in Applied and Computational Mathematics. My favorite subject to tutor is math because I find it very rewarding to simplify complex topics to aid in understanding. I have lots of tutoring experience. In high school, I ran and taught an SAT prep class and was vice president of my school's NHS chapter where I ran our tutoring program, and I, myself, tutored. I also was a teaching assistant in the summer of 2020 for a class in discrete mathematics through a program called PACT (Program in Algorithmic and Combinatorial Thinking). I love learning and hope to make the process enjoyable for you!

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Annie

Pre-Algebra Tutor • +28 Subjects

I am currently a second year medical student. I was a Physiological Sciences major at UCLA (class of 2015), and pursued research during my gap year between undergrad and medical school.

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Sami

Pre-Algebra Tutor • +19 Subjects

I am a Duke University graduate in Economics and Computer Science. I am currently pursuing an MBA degree at the Yale School of Management. I have worked in the financial field, both at a management consulting firm and a fortune 500 company. My hobbies include playing and coaching soccer. Hobbies: reading, writing, art, books, music

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MaryAnn

Calculus Tutor • +21 Subjects

I am a published author who has enjoyed “coaching” our daughter, as she navigated through high school, college and graduate school. I mentor college juniors who are seeking careers in financial services, and I serve as a peer resource to professionals who are transitioning from private industry to the nonprofit sector. Hobbies: reading, cooking, writing, books, music, art, travel

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Pinelopi

Pre-Algebra Tutor • +25 Subjects

I am a Duke University graduate with a Bachelors degree in Psychology. I have experience tutoring all levels of Spanish language, all sections of the SAT, as well as algebra, pre algebra, geometry, and pre-calculus! I love kids & I have a very flexible schedule and a lot of patience! Let me help you :)

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Samantha

Pre-Algebra Tutor • +38 Subjects

I'm a first-year medical student and recent graduate from Duke University, where I studied Global Health Determinants, Behaviors, and Interventions. From running a piano program at a nonprofit children's theatre to private tutoring in math, science, and standardized test prep, I enjoy helping my students become confident and self-sufficient learners! Hobbies: photography, travel, reading, music, writing, running, art, books, traveling

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Earnest

Pre-Algebra Tutor • +26 Subjects

I am comfortable with either setting. I'm confident that I can help you (or your student) achieve to the best of their ability, so please don't hesitate to get in touch!

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Zachary

Trigonometry Tutor • +35 Subjects

I am passionate about teaching and tutoring and I thoroughly enjoy helping students gain an understanding and a drive for their studies. I have a long history of working with students of all grade levels and abilities (elementary school through college), and I have a good understanding of strategies to excel in both general academics and standardized tests.

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Frequently Asked Questions

The Series 14A exam focuses on the rules and regulations that Designated Market Makers (DMMs) must follow when operating on the New York Stock Exchange. Key topics include market maker responsibilities, order handling procedures, trading regulations, compliance requirements, and ethical standards. The exam tests both knowledge of NYSE rules specific to DMM operations and broader securities regulations that apply to market participants. A tutor specializing in Series 14A preparation can break down these complex regulatory areas and help you understand how they apply to real-world DMM scenarios.

Most candidates spend 4-8 weeks preparing for the Series 14A, though this varies based on your background in securities and regulatory compliance. If you're new to the financial industry, you may benefit from a longer study timeline. Personalized tutoring can significantly accelerate your progress by focusing on the specific areas where you need the most help, rather than spending time on concepts you already understand. A tutor can create a customized study plan based on your starting point and target exam date.

The Series 14A exam challenges candidates because it requires mastery of detailed regulatory language and the ability to apply rules to specific trading scenarios. Many test-takers struggle with distinguishing between similar rules, understanding the nuances of compliance obligations, and recognizing how different regulations interact. Additionally, the exam emphasizes practical application rather than just memorization, so you need to understand the "why" behind regulations, not just the "what." Personalized instruction helps by clarifying confusing regulations, providing practice with scenario-based questions, and teaching test-taking strategies specific to how the exam presents material.

An effective Series 14A tutor should have deep expertise in NYSE regulations and DMM operations, ideally with real experience in market making or compliance roles. They should be able to explain complex regulatory concepts clearly and connect them to practical trading scenarios. The best tutors also understand how the exam questions are constructed and can teach you to recognize what examiners are testing for with each question. Look for someone who tailors their approach to your learning style and can identify your specific weak areas to focus your study time efficiently.

Personalized 1-on-1 instruction allows tutors to identify exactly which regulatory concepts are giving you trouble and spend dedicated time on those areas, rather than reviewing material you've already mastered. Tutors can also provide targeted practice with exam-style questions, help you develop strategies for scenario-based questions, and give you feedback on your reasoning process. This focused approach is far more efficient than generic study materials, and research on learning shows that personalized instruction significantly improves both understanding and retention of complex material.

You need to score at least 70% on the Series 14A exam to pass. This means getting approximately 70 out of 100 questions correct, though the exact number can vary slightly depending on question weighting. Achieving this score requires solid understanding of the core regulatory topics and the ability to apply them accurately under test conditions. A tutor can help you focus your preparation on the highest-yield topics and develop the confidence and test-taking skills you need to reach this threshold consistently.

Yes, many candidates successfully prepare for the Series 14A while working full-time, particularly with structured, efficient study methods. Personalized tutoring is especially valuable in this situation because a tutor can work around your schedule and focus your limited study time on high-impact areas. Instead of spending hours reviewing material you don't need, you can work with a tutor on just the concepts that challenge you, making your preparation both faster and more effective during evenings and weekends.

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