Definition of Limited Principal

Limited Principal is an individual who has passed the Series 26 exam and may supervise Series 6 limited representatives.

Applying "Limited Principal" to Securities Exams:

a limited principal who has passed the series 26 exam may supervise a member firm’s business in mutual funds and annuities. A series 26 limited principal may supervise series 6 agents who conduct investment company and annuity business with members of the investing public.

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