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1.0BD Consulting Associateshttps://www.bdcaonline.commainuserhttps://www.bdcaonline.com/author/mainuser/Financial Services FAQ - BD Consulting Associatesrich600338<blockquote class="wp-embedded-content" data-secret="8zuvXS8hkk"><a href="https://www.bdcaonline.com/our_services/financial-services-faq/">Financial Services FAQ</a></blockquote><iframe sandbox="allow-scripts" security="restricted" src="https://www.bdcaonline.com/our_services/financial-services-faq/embed/#?secret=8zuvXS8hkk" width="600" height="338" title="“Financial Services FAQ” — BD Consulting Associates" data-secret="8zuvXS8hkk" frameborder="0" marginwidth="0" marginheight="0" scrolling="no" class="wp-embedded-content"></iframe><script>
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https://www.bdcaonline.com/wp-content/uploads/2022/08/Financial-Services-FAQ-1.jpg1170400Q: Are all broker/dealers required to have a Financial and Operations Principal? A: Yes. Many years ago the NASD allowed certain firms to be exempt from having a FINOP. However, all exemptions for not having a FINOP registered with any firm have been eliminated. Q: Is there any rule or regulation that prohibits a broker/dealer from […]