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Sales advisory process for supervision
Sales advisory process for Supervision
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FAQs online signature
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What are supervisory procedures?
In Rule 3110, FINRA defines supervision as a system of policies and procedures designed by brokers and dealers to ensure that their staff handles investors' funds in line with applicable securities rules, laws and regulations in the normal course of day-to-day operations.
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What is an OSJ in finance?
An Office of Supervisory Jurisdiction (OSJ) is an office identified by the broker dealer as having supervisory responsibilities for agents and branch offices within its region. The OSJ has final approval of new accounts, and retail communication, The OSJ may also make markets or structures offerings.
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What is a super OSJ?
A Large or Super OSJ takes on more significant responsibilities and offers additional support services than a standard OSJ. These enhanced roles include providing a broader range of back-office and business services, such as marketing support, technology platforms, and administrative assistance.
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What is the difference between OSJ and non-OSJ?
In a fintech company, typically, an OSJ (Office of Supervisory Jurisdiction) would focus more on regulatory compliance, risk management, and supervision of financial activities. Other non-OSJ branches might direct efforts toward sales activities, customer service, or other operational aspects of the business.
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What qualifies as an OSJ?
An Office of Supervisory Jurisdiction (OSJ) is an office identified by the broker dealer as having supervisory responsibilities for agents and branch offices within its region. The OSJ has final approval of new accounts, and retail communication, The OSJ may also make markets or structures offerings.
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What is the FINRA rule for supervision?
FINRA Rule 3110 (Supervision) FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.
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What does OSJ stand for in insurance?
OSJ stands for “Office of Supervisory Jurisdiction” and is primarily used in the independent financial advisory world. Today, OSJs offer different services and value propositions, including recruitment and support for advisors.
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What is a FINRA non-branch location?
An RSL is a non-branch location (i.e., an unregistered office or non-registered location), which means that a firm does not need to register it as a branch office under Article IV, Section 8 of the FINRA By-Laws.
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when it comes to your financial life the words that you use and the words that I use must be grounded the same way otherwise I really believe it creates a gap in our advisory process I think it creates potential issues long range in our relationship and if I don't have a clear understanding of what you mean by the words you use well there's a chance that I'll interpret those words using my own bias and filters and if my understanding of those words are not at all what you mean uh there's a high probability that you will accept the plan as delivered not in smile but you won't implement it because you won't understand it or it won't make sense or it won't match what you have envisioned and it's all because maybe what I've asked you to do is based on what I believe is in your best interest and it may not align with what you want for yourself
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