Series 28: Office Of Supervisory Jurisdiction (OSJ)

Office of Supervisory Jurisdiction (OSJ)

An Office of Supervisory Jurisdiction is one that demands special supervisory attention, either because FINRA deems that the activities conducted at that site have particular regulatory significance or because the member firm itself believes it prudent or necessary based on certain FINRA guidelines.

Under FINRA rules, the execution of any one of the following critical activities requires that an office be designated an OSJ:

• • Order execution or market making
• • Structuring of public offerings or private placements
• • Maintaining cus