Series 28: Supervisory System

Taken from our Series 28 Online Guide

Supervisory System

A supervisory system is a defined structure that specifies how a member firm should oversee the activities of its employees. 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
• Establish a managerial chain of command and att

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