Series 99: Registered Principal

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Registered Principal...

a manager of a FINRA member’s investment banking or securities business, including a sole proprietor, officer, and partner.

Since you're reading about Series 99: Registered Principal, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 99
Please Enable Javascript
to view this content!