Licensed Occupation
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Licensed Occupation (United States)
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License Description:
Covered supervisory activities include the following.
?Back office operations
?Preparation and maintenance of a member firm’s books and records
?Compliance with financial responsibility rules that apply to fully disclosed broker-dealers that do not hold customer funds and securities, and do not carry customer accounts
License Agency:
Financial Industry Regulatory Authority (FINRA)
http://www.finra.org/industry
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Source: CareerOneStop, sponsored by the U.S. Department of Labor (USDOL).
Note: Information on licensed occupations is gathered in each state by Labor Market Information units under a grant from USDOL. States are required to submit updated license information once every two years.