Office of Supervisory Jurisdiction | Practical Law
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Office of Supervisory Jurisdiction
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Office of Supervisory Jurisdiction
Practical Law Glossary Item 2-589-4545
(Approx. 2 pages)
Glossary
Office of Supervisory Jurisdiction
An office of a
broker-dealer
where any of certain functions takes place, including:
Order execution or market making.
Structuring of public offerings or
private placements
.
Maintaining custody of clients' funds or securities.
Final approval of new accounts.
Final approval of retail communications.
Supervision of associated persons at other branch offices.
For more information on an office of supervisory jurisdiction, see
Practice Notes, Broker-Dealer Registration: Overview
and
FINRA Supervision Rules
.