Series 23 - General Securities Principal—Sales Supervisor Module
- Exam
- State exam
- Education
- None
- Experience
- None
- Background check
- Required
A general securities principal’s supervisory responsibilities are governed by the limitations of his or her representative level registrations. Covered supervisory activities include regulatory compliance over the following. ?Trading ?Market making ?Underwriting ?Advertising The Series 9/10 Exam is designed to assess the competency of General Securities Sales Supervisors in the following fields: ?Sale of Corporate Securities ?Rights ?Warrants ?Closed-End Funds ?Money Market Funds ?REITs ?Asset-Backed Securities ?Mortgage Backed-Securities (Corporate) ?Equity Options ?Options on (corporate) Backed-Securities ?Mutual Funds ?Variable Annuities and Variable Life Insurance ?Government Securities ?Repos and Certificates of Accrual on Government Securities ?Municipal Securities and Municipal Fund Securities ?Direct Participation Programs
Requirements reported by the state
- Licence type
- Stand-alone license
- Exam
- State exam required
- Education
- No education required
- Continuing education
- Continuing education required
- Certification
- No mention of certification
- Experience
- No experience
- Background check
- Background check required
- Physical requirement
- No physical requirements
Issuing body
- Department
- Financial Industry Regulatory Authority (FINRA)
- Agency website
- http://www.finra.org/industry
- Last updated
- July 19, 2019
Occupations (O*NET)
- Securities Agent 41-3031.00
Source and verification
This record is United States's report to the Analyst Resource Center, published by CareerOneStop (October 2024 export). Everything shown comes only from that report.
Before you apply, confirm every detail with Financial Industry Regulatory Authority (FINRA) — see the issuing body section above.
How we process this data. Not legal advice.