Office of Supervisory Jurisdiction

Office of Supervisory Jurisdiction

Definition

An office designated by a broker-dealer as having supervisory responsibilities for one or more branch offices. Any of the following functions take place in offices of supervisory jurisdiction: order execution or market making, structuring of public offerings or private placements, maintaining custody of clients’ funds or securities, final approval of new accounts, review and approval of customer orders, final approval of advertising or sales literature, and supervision of associated persons at other branch offices.

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