Series 99: 2.3.3.1 Financial And Operations Principal (FINOP)

Taken from our Series 99 Top-off Online Guide

2.3.3.1 Financial and Operations Principal (FINOP)

FINRA requires all broker-dealers to designate certain principals to oversee the firm’s financial and operating activities. These principals are called Financial and Operations Principals, or FINOPs for short. All FINOPs must pass the Series 27 (Series 18 depending on the firm) before their registration becomes effective. The chief financial officer must be registered as a FINOP. Duties of FINOPs include:

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