Licencia: Series 28 - Introducing Broker/Dealer Financial and Operations Principal
Covered supervisory activities include the following. ?Back office operations ?Preparation and maintenance of a member firm’s books and records ?Compliance with financial responsibility rules that apply to fully disclosed broker-dealers that do not hold customer funds and securities, and do not carry customer accounts
- Licencia independiente
- Se requiere examen estatal
- No se requiere educación
- Se requiere educación continua
- No se necesita experiencia
- Se requiere verificación de antecedentes
- Sin requisitos físicos
Información de licencia actualizada en 07/19/2019