Licencia: Series 27 - 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 self-clearing broker-dealers and market makers ?Mutual funds ?Closed-end funds (initial offering only) ?Variable annuities ?Variable life insurance
- 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