Series 27: Office Of Supervisory Jurisdiction (OSJ)

Taken from our Series 27 - Financial and Operations Principal Qualification Examination

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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Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

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