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

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

Series 27 - FINRA Adjudicatory Rules

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