Series 51: Financial And Operations Principal (Series 27)

Taken from our Series 51 Online Guide

Financial and Operations Principal (Series 27)

A financial and operations principal (FINOP) is another required principal for brokers, dealers, and municipal securities dealers. FINOPs are responsible for the preparation and approval of financial reports, the maintenance of books and records, compliance with the financial responsibility rules, supervision of clearance functions, and supervision of safekeeping functions.

FINOPs must pass the Series 27 exam.

Exercise

Match the associated person to the appropriate qualifying exam.

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I loved the online testing for the Series 51! I felt like the questions were trickier so it really prepared me for the real exam.

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