Exchange Currency

registered principal

Licensed securities professional who oversees the major operations of a securities firm, including such things as regulatory compliance, sales and marketing. A registered principal must have a principal license in addition to the basic securities licenses required for dealers.

Related information about registered principal:
  1. Registered Principal Definition | Investopedia
    A licensed securities dealer who is also empowered to oversee operational, compliance, trading and sales operations and the personnel who staff them.
     
  2. What is registered principal? definition and meaning
    Definition of registered principal: Licensed securities professional who oversees ... A registered principal must have a principal license in addition to the basic ...
     
  3. Registered Principal Search
    Registered Principal Search (RPS) searches the Division of Corporation's database for businesses associated with an individual. Once the registered principal ...
     
  4. The Series 24 Exam (General Securities Registered Principal)
    The Series 24 Exam (General Securities Registered Principal) is a FINRA (NASD ) exam. The Series 24 exam is required by FINRA (NASD) for any person who ...
     
  5. List of securities examinations - Wikipedia, the free encyclopedia
    Most FINRA examinations are divided into two categories: Registered Representative and Registered Principal levels. An asterisk designates that there is no ...
     
  6. Registered Principal Approval Required - finra
    RCA - March 1998 - Advertising Update - Registered Principal Approval Required. The NASD Conduct Rules require a registered principal to approve in writing ...
     
  7. Mike Shovein, CFP, Registered Principal | LinkedIn
    View Mike Shovein, CFP, Registered Principal's professional profile on LinkedIn. LinkedIn is the world's largest business network, helping professionals like ...
     
  8. Corporate Registered Principal Salary in Minneapolis, MN | Indeed ...
    Average Corporate Registered Principal Salary in Minneapolis, MN: $77000. Search and compare Corporate Registered Principal Salary in Minneapolis, MN by ...