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

Since you're reading about Series 24: 1.2.3.2.2. Limited Principals, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 24
Please Enable Javascript
to view this content!