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Licensed Occupation
Licensed Occupation      (United States)

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 self-clearing broker-dealers and market makers
?Mutual funds
?Closed-end funds (initial offering only)
?Variable annuities
?Variable life insurance

License Agency:
Financial Industry Regulatory Authority (FINRA)

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.