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FINRA PFO and POO Services
FINRA Required PFO and POO Services
Broker/Dealers are required to designate a Principal Financial Officer and Principal Operating Officer. Consequently, your Fin-Op also must be designated PFO and POO, pursuant to FINRA Regulatory Notice 17-30. These designations do not require legal officer status but do require FINRA Series 99 Operations Professional registration.
