The General Securities Principal registration (GP) is a FINRA principal category for appropriately sponsored and qualified personnel. The ordinary GP route requires the Securities Industry Essentials exam, Series 7, and Series 24. Series 24 supports supervision of functions including advertising, market making, trading, and underwriting, subject to the person’s representative-level registrations. It does not by itself grant municipal-securities or options-principal authority. The employing FINRA or applicable SRO member firm requests the registration; examination passage alone does not create registration, employment, a title, promotion, or supervisory authority.
License details
- License summary
- FINRA General Securities Principal (GP) registration pathway; not a state license or authority from exam passage alone.
- General renewal / maintenance overview
- FINRA registration, annual Regulatory Element and applicable Firm Element continuing education, and qualification-maintenance rules apply by category and current rule.
Source governance
- Primary authoritative source
- https://www.finra.org/rules-guidance/rulebooks/finra-rules/1220
- Last reviewed / verified date
- 2026-08-30
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