Series 53: Supervisory System

Taken from our Series 53 Online Guide

Supervisory System

A supervisory system is a structure that defines who will carry out a firm’s oversight responsibilities and how the oversight will be accomplished. As defined by MSRB Rule G-27, a supervisory system must:

• Define which member offices are designated OMSJs and how they are to be managed
• Establish a managerial chain of command and attest to the qualifications of

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