How much does a General Securities Principal make in Utah? The salary range for a General Securities Principal job is from $38,604 to $50,556 per year in Utah. Click on the filter to check out General Securities Principal job salaries by hourly, weekly, biweekly, semimonthly, monthly, and yearly.
General Standards: All communication with the public must be fair, balanced and based on principals of fair dealing.
December 20, 2021
HFRX Equity Hedge Index (HFRXEH) – The HFRX Equity Hedge Index is designed to reflect the general performance of strategies that maintain both long and short positions in primarily equity and equity derivative securities.
December 19, 2021
The General Securities Sales Supervisor Exams do not allow the sales supervisor/branch manager to supervise other areas of a member's securities business, such as underwriting, trading, advertising or overall firm compliance with financial responsibilities.
December 12, 2021
(HFRXEMN) – The HFRX Equity Market Neutral Index is designed to reflect the general performance of strategies that employ sophisticated quantitative techniques of analyzing price data to ascertain information about future price movement and relationships between securitie.
December 10, 2021
While the scope of the general securities principal's supervisory authority is broader than the Series 9 and 10, the Series 24 is limited in the products that it covers.
December 05, 2021