Series 14: 5.1.4. Supervisory System

Taken from our Series 14 Online Guide

5.1.4. 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. 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

• Establi

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