Series 53: Financial And Operations Principal (Series 27)

Taken from our Series 53 Online Guide

Financial and Operations Principal (Series 27)

A financial and operations principal (FINOP) is another required principal for brokers, dealers, and municipal securities dealers. FINOPs are responsible for the preparation and approval of financial reports, the maintenance of books and records, compliance with the financial responsibility rules, supervision of clearance functions, and supervision of safekeeping functions.

FINOPs must pass the Series 27 exam.

Exercise: Match the associated person to the appropriate qualifying exam.

Since you're reading about Series 53: Financial And Operations Principal (Series 27), you might also be interested in:

Solomon Exam Prep Study Materials for the Series 53
Please Enable Javascript
to view this content!

A. Series 52 exam, or