Exercise

Choose the best answer.

1. Order execution can take place at which of the following?

A. A branch office only

B. An OSJ only

C. Either a branch office or an OSJ

D. Any office associated with a brokerage firm

2. An office where one or more associated employees are in the business of effecting but not executing the purchase or sale of a security is known as _____

3. How often must an OSJ be inspected?

4. How often must a branch office that does not superv