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Series 28 - Introducing Broker/Dealer Financial and Operations Principal
License Description 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
Licensing Agency
Financial Industry Regulatory Authority (FINRA)
Active Status Active
Continuing Education Continuing education required to maintain license
Criminal Record Background check required
Education No educational requirements
Exam State exam required
License Type Stand-alone license
License Updated 07/19/2019
Physical Requirements No physical requirements

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