Responsibilities of the Financial and Operations Principal (FINOP)
Overview
This course outlines the requirements and duties of a registered member firm’s Financial and Operations Principal (FINOP). This role involves more than just a designation by senior management. Associated persons must understand these qualifications and how the FINOP impacts and safeguards the firm.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Understand the responsibilities of the Financial and Operations Principal.
- Know the requirements of a Financial and Operations Principal.
- Understand the importance and use of the SEC Net Capital Rule.
Designed For:
Financial and Operations Principals
Course Information
Adding additional credit may change exam requirements.
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S1-31 - Framework