Series 26: Office Of Supervisory Jurisdiction (OSJ)

Taken from our Series 26 - Investment Company Products/Variable Contract Limited Principal 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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