Series 65: Office Of Supervisory Jurisdiction (OSJ)

Taken from our Series 65 - NASAA Uniform Investment Advisor Law Exam

Definition of the term Office Of Supervisory Jurisdiction (OSJ)...

an office that demands special supervisory attention, either because FINRA deems that the activities conducted there have particular regulatory significance, or because the member firm itself believes it prudent or necessary based on certain FINRA guidelines.

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