Office of Supervisory Jurisdiction definition

Office of Supervisory Jurisdiction or “OSJ” means any office of a Member at which any one or more of the following functions take place:
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Office of Supervisory Jurisdiction means any office of a broker-dealer at which one (1) or more of the following functions takes place:
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Office of Supervisory Jurisdiction means any office designated by a broker-dealer as being responsible for supervision of one (1) or more branch offices.
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Examples of Office of Supervisory Jurisdiction in a sentence

  • This office is an Office of Supervisory Jurisdiction and order taking and entry takes place at this location.

  • Selling Group Member hereby designates the principal place of business of the Associated Agency as an Office of Supervisory Jurisdiction of Selling Group Member.

  • A branch office may or may not be designated as an Office of Supervisory Jurisdiction (OSJ) at the discretion of the registrant.

  • The Company’s office located at 3260 Middle Road, Columbus, Indiana, 47203, has been designated an Office of Supervisory Jurisdiction (OSJ) of CU Investment Solutions Inc.

  • The financial advisor forwards these materials to the broker-dealer home office or Office of Supervisory Jurisdiction (OSJ) to conduct principal review, KYC, and AML processes before forwarding these materials to the product provider.

  • Moreover, Mr. Beauvais is a designated Office of Supervisory Jurisdiction for Commonwealth.

  • Due to the operating agreement between FRGIS and LPL, this location is also a registered Office of Supervisory Jurisdiction (“OSJ”) for LPL Financial.

  • A branch office may be designated as an Office of Supervisory Jurisdiction (OSJ) at the discretion of the registrant.

  • United Planners consented to an Acceptance, Waiver & Consent (AWC) due to an insufficient supervisory system to reasonably achieve compliance with applicable securities laws, procedures and FINRA rules with respect to variable annuity transactions of field Office of Supervisory Jurisdiction (OSJ) Supervisors.

  • The Company also leases offices at 44 S Broadway, White Plains, NY 10601, where the Company operates as an Office of Supervisory Jurisdiction of ViewTrade pursuant to the Franchise Branch Office and Management Agreement.


More Definitions of Office of Supervisory Jurisdiction

Office of Supervisory Jurisdiction means any office of the Firm where one or more of the following functions take place: order execution or market making; structuring of public offerings or private placements; maintaining custody of customers' funds or securities; final acceptance (approval) of new accounts on behalf of the Firm; review and endorsement of customer orders; final approval of retail communications for use by persons associated with the Firm, except for an office that solely conducts final approval of research reports; or responsibility for supervising the activities of persons associated with the Firm at one or more other branch offices of the Firm.
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Office of Supervisory Jurisdiction means a location of a member at which any one or more of the following functions take place:
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Office of Supervisory Jurisdiction means any office of a broker-dealer at which any one
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Related to Office of Supervisory Jurisdiction

  • County authority means the board of county commissioners,

  • primary insolvency jurisdiction means the Contracting State in which the centre of the debtor’s main interests is situated, which for this purpose shall be deemed to be the place of the debtor’s statutory seat or, if there is none, the place where the debtor is incorporated or formed, unless proved otherwise;

  • application for international protection means a request made by a third country national or a stateless person for protection from a Member State, who can be understood to seek refugee status or subsidiary protection status, and who does not explicitly request another kind of protection, outside the scope of this Directive, that can be applied for separately;

  • Commissioners Court means Travis County Commissioners Court.

  • Commissioner of Police means the person holding or acting in the office of Commissioner of Police under the Police Act 1892;

  • County Council means Greenville County Council, the governing body of the County.

  • Board of Commissioners means a county board of commissioners.

  • Supervisory Authority means an independent public authority which is established by an EU Member State pursuant to the GDPR.

  • County Superintendent means the Executive County Superintendent of Schools designated by the Department of Education for this school district.

  • County Government means the county government provided for under Article 176 of the Constitution;

  • Urban Coordinating Council Empowerment Neighborhood means a neighborhood given priority access to State resources through the New Jersey Redevelopment Authority.

  • District superintendent means the superintendent of a district or the chief administrator of a public school academy.

  • National Commissioner means the National Commissioner of the South African Police Service, appointed by the President under section 207(1) of the Constitution of the Republic of South Africa, 1996;

  • the Commissioners means the Commissioners for Her Majesty’s Revenue and Customs;

  • Governing authority means the local legislative authority

  • Governing State has the meaning set forth is Section 10.3 hereof.

  • Jurisdiction means a province or territory of Canada except when used in the term foreign jurisdiction;