Series 28: Financial And Operations Principal (FINOP)

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Financial And Operations Principal (FINOP)...

a registered principal who is responsible for a broker-dealer's compliance with FINRA's net capital, customer protection, and financial reporting rules.

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Solomon Exam Prep Study Materials for the Series 28
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