Post by cxgllc on Oct 25, 2018 4:44:02 GMT -5
FINOP stands for Financial and Operations Principal. Suggest new definition. This definition appears frequently and is found in the following Acronym Finder categories: Business, finance, etc.
Every broker-dealer is required to comply with SEC and FINRA rules concerning the preparation and retention of financial and operational books and records. Included in these responsibilities are ensuring continuous Net Capital compliance, proper preparation and maintenance of financial records, and accurate and timely submission of various financial reports monthly, quarterly and annually.
Outsourced FINOP | Broker Dealer Compliance Manual
Every broker-dealer is required to comply with SEC and FINRA rules concerning the preparation and retention of financial and operational books and records. Included in these responsibilities are ensuring continuous Net Capital compliance, proper preparation and maintenance of financial records, and accurate and timely submission of various financial reports monthly, quarterly and annually.
Outsourced FINOP | Broker Dealer Compliance Manual