Series 24: 1.2.3.2.2. Limited Principals

Taken from our Series 24 Online Guide

1.2.3.2.2. Limited Principals

• General Security Sales Supervisor (Series 9/10)—supervises sales activities but cannot supervise investment banking, trading, or overall firm compliance with financial responsibilities. Series 7 is a prerequisite.

• Financial and Operations Principal (Series 27)—prepares the financial reports for a clearing firm, filed with FINRA and the SEC.

• Introducing Broker-Dealer Financial and Operations Principal (Series 28)—prepares the less-involved financial reports for a non-clearing firm, filed with FINRA and the SEC.

• Registered Options Principal (Series 4)—approves and reviews all options transactions. All member firms engaged in options transactions must have at least one Registered Options Principal.

• Investment Company and Variable Contracts P

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