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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.