MITCH ATKINS FINRA MEMBERSHIP APPLICATIONS

More studying? Are you kidding? Often this is the question that FirstMark Regulatory Solutions gets when discussing the FINRA general securities principal registration requirements with clients who have already taken the Series 7 and 63 exams... FINRA will require that anyone who is "actively engaged in the management of the member's investment banking or securities business, including supervision, solicitation, conduct of business or the training of persons associated with a member for any of these functions are designated as principals" take and pass the Series 24 (FINRA General Securities Principal) examination. FINRA also requires that persons holding the following positions take and pass the Series 24 examination: sole proprietors, officers, partners, managers of offices of supervisory jurisdiction (OSJs), and corporate directors (in most instances)... Specific activities that generally have been viewed as moving someone across the line into the principal registration..

Primary location: Boca Raton United States