Series 82: 2.1.4.5. Chain Of Command

2.1.4.5. Chain of Command

Each OSJ is required to designate at least one General Securities Principal (or other appropriately qualified principal) to be responsible for the supervision not only of the activities of the registered representatives and other principals in its own office, but also in any branch office under its jurisdiction. Among the General Securities Principal’s supervisory responsibilities are:

• The enforcement of the member firm’s written supervisory procedures

• The final review of new accounts and the peri