Series 7: 18.3.2.1 Principals

Taken from our Series 7 Top-off Online Guide

18.3.2.1 Principals

FINRA identifies several categories of principal, listed next, along with the number of their qualifying examinations.

General Principal. A General Principal is a person engaged in managing or supervising registered employees with respect to all activities of her office, except those involving options accounts or financial reporting to regulators. A General Principal may also approve retail communications, including communications regarding municipal securities. General Principals include sole proprietors, officers, partners, managers, and directo

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