The Investment Company and Variable Contracts Products Principal registration (IP) is a limited FINRA principal category. It requires the Securities Industry Essentials exam and either Series 6 or Series 7, together with Series 26 and appropriate firm sponsorship. Its supervisory scope covers mutual funds, variable annuities, variable life insurance, and closed-end funds only during the initial offering. It is not general-principal authority. The employing firm requests the registration; examination passage alone does not create registration, employment, a title, promotion, or supervisory authority.
License details
- License summary
- FINRA Investment Company and Variable Contracts Products Principal (IP) registration pathway; a product-limited principal category.
- 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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