Series 14: 5.1.4. Supervisory System

Taken from our Series 14 Online Guide

5.1.4. Supervisory System

A supervisory system is a defined structure that specifies how, where, and by whom a member firm’s oversight responsibilities for the activities of its employees are carried out. FINRA requires that member firms set up a supervisory system that will:

Define which member offices are designated as Offices of Supervisory Jurisdiction

Describe how the OSJs are to be managed

Establi

Since you're reading about Series 14: 5.1.4. Supervisory System, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 14
Please Enable Javascript
to view this content!