Post by cxgllc on May 3, 2019 0:24:03 GMT 12
The Financial Industry Regulatory Authority (FINRA) provides you two primary registrations that allow individuals to act as FINOP’s:
1. The Series 27 registration allows an individual to act as a “Limited Principal-Financial and Operations.”
2. The Series 28 registration allows an individual to act as a “Limited Principal-Introducing Broker/Dealer Financial and Operations.”
Outsourcing your FINOP is a great way to keep costs down, obtain experienced and talented people, and have your financial information backed up offsite, while allowing you to concentrate on selling your product and building your business.
Broker Dealer Registration Consultant | Compliance Outsourcing
1. The Series 27 registration allows an individual to act as a “Limited Principal-Financial and Operations.”
2. The Series 28 registration allows an individual to act as a “Limited Principal-Introducing Broker/Dealer Financial and Operations.”
Outsourcing your FINOP is a great way to keep costs down, obtain experienced and talented people, and have your financial information backed up offsite, while allowing you to concentrate on selling your product and building your business.
Broker Dealer Registration Consultant | Compliance Outsourcing