Registered Principal

Chinese translation: 注册经理人

14:29 Sep 20, 2020
English to Chinese translations [PRO]
Social Sciences - General / Conversation / Greetings / Letters / general
English term or phrase: Registered Principal
I was a Registered Principal with the SEC

這是什麼職位?謝謝
Richard Lin
Taiwan
Local time: 12:53
Chinese translation:注册经理人
Explanation:
注册经理人

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Note added at 11 mins (2020-09-20 14:40:16 GMT)
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在美国证券交易委员会(SEC)注册的职业证券经纪公司经理人
Selected response from:

jyuan_us
United States
Local time: 00:53
Grading comment
謝謝
4 KudoZ points were awarded for this answer



Summary of answers provided
5經 合 格 登 記 的 主 管
Frank Wang
4注册经理人
jyuan_us


  

Answers


7 mins   confidence: Answerer confidence 4/5Answerer confidence 4/5
registered principal
注册经理人


Explanation:
注册经理人

--------------------------------------------------
Note added at 11 mins (2020-09-20 14:40:16 GMT)
--------------------------------------------------

在美国证券交易委员会(SEC)注册的职业证券经纪公司经理人

jyuan_us
United States
Local time: 00:53
Native speaker of: Native in ChineseChinese
PRO pts in category: 533
Grading comment
謝謝
Login to enter a peer comment (or grade)

20 mins   confidence: Answerer confidence 5/5
registered principal
經 合 格 登 記 的 主 管


Explanation:
NASD規 則(Conduct Rules)3010(a)2要 求 會 員 證 券 商 應 於 每 一 個 業 務 中 指
定 一 位 或 數 位 經 合 格 登 記 的 主 管 ( Registered Principal) , 負 責 執 行 該 項 業 務
之 監 督 工 作 。 所 謂 合 格 登 記 的 主 管 係 指 通 過 FINRA一 般 證 券 主 管 資 格 考 試
(General Securities
PrincipalQualificationExaminationTestSeries24)並向FINRA完 成 登 記 之 人 員 。

https://www.twse.com.tw/ch/products/publication/download/000...

Frank Wang
China
Local time: 12:53
Native speaker of: Native in ChineseChinese
PRO pts in category: 29
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