Business and Personal Finance Dictionary
# A B C D E F G H I J K L M N O P Q R S T U V W X Y Z
- REGISTERED SECURITIES PRINCIPAL
Is a supervisor of Series 7 or specialty licensed brokers other than options. These principals supervise and review employees in the Front Office, Middle Office, and Back Office. For options supervision, see Compliance Registered Options Principal, Registered Options Principal, and Senior Registered Options Principal. A Registered Securities Principal is Series 24 licensed.Back