Series 53: 2.2.2.4.9. Financial And Operations Principal (Series 27)

Taken from our Series 53 Online Guide

2.2.2.4.9. 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 of clearanc

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