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Compliance registered options principal

• Is the designated supervisor within a firm who is responsible for the firm and its employees to abide by the rules and regulations governing options. In particular, this person has oversight on sales literature and advertising. Advertising must also be submitted to outside regulatory bodies. Generally, the Compliance Registered Options Principal may not also be the Senior Registered Options Principal. However, an exception is provided for firms do not exceed a certain threshold in terms of revenue. This person is Securities Series 4 licensed.

 
 

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 Compliance
Firm
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Registered options principal
Sales
Securities
Senior registered options principal
Senior
Series 4
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