Series 82: 2.1.4.4. Supervisory System

Taken from our Series 82 Online Guide

2.1.4.4. 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. As defined by FINRA Rule 3110, a supervisory system must do the following:

• Define which member offices are designated OSJs and how they ar

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