Florida broker-dealer principals
GPTKB entity
Statements (18)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
professional occupation
|
| gptkbp:canBeSanctionedBy |
gptkb:FINRA
gptkb:SEC gptkb:Florida_Office_of_Financial_Regulation |
| https://www.w3.org/2000/01/rdf-schema#label |
Florida broker-dealer principals
|
| gptkbp:license |
Florida broker-dealer principal license
|
| gptkbp:mustPassExam |
FINRA Series 24
FINRA Series 7 |
| gptkbp:mustRegisterWith |
gptkb:FINRA
gptkb:Florida_Office_of_Financial_Regulation |
| gptkbp:regulates |
gptkb:Florida_Office_of_Financial_Regulation
|
| gptkbp:responsibleFor |
compliance with securities laws
supervision of broker-dealer activities |
| gptkbp:subject |
FINRA rules
SEC regulations Florida Statutes Chapter 517 |
| gptkbp:bfsParent |
gptkb:Series_44
|
| gptkbp:bfsLayer |
7
|