Series 28: Office Of Supervisory Jurisdiction (OSJ)

Taken from our Series 28 - Introducing Broker-Dealer 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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Solomon Exam Prep Study Materials for the Series 28
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