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Finance Dictionary and Glossary of Investment Terms
Office of Supervisory Jurisdiction (OSJ)
Definition 1.
Any main or branch office of an NASD member where one or more of the following take place: order execution or market making; public offerings or private placements are structured; customers' funds or securities are held; new accounts are approved; customer orders are reviewed and endorsed; advertising or sales literature for use by the member's associated persons is approved; the activities of associated persons at other branch offices of the member are supervised.
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