Series 14: 5.1.2. Branch Office

Taken from our Series 14 Online Guide

5.1.2. Branch Office

A branch office is any location where one or more associated employees are in the business of soliciting or effecting (but not executing) the purchase or sale of any security. An office responsible for supervising the activities of employees at one or more non-branch locations of the member firm is also designated a branch office.

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