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:

Office of Supervisory Jurisdiction means any office of a broker-dealer at which one (1) or more of the following functions takes place:

Office of Supervisory Jurisdiction means any office designated by a broker-dealer as being responsible for supervision of one (1) or more branch offices.

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.

Office of Supervisory Jurisdiction means a location of a member at which any one or more of the following functions take place:

Office of Supervisory Jurisdiction means any office of a broker-dealer at which any one