Series 7: Principals

Taken from our Series 7 Online Guide 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 directors of corporations

Since you're reading about Series 7: Principals, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 7
Please Enable Javascript
to view this content!