Office of Supervisory Jurisdiction Archives - Master Compliance

6 05, 2022

Customer Complaints (FINRA Rule 4513)
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Customer Complaints (FINRA Rule 4513)
Broker-Dealer, FINRA, Rules and Regulations

Customer Complaints (FINRA Rule 4513)

By admin|2022-05-06T16:22:41-04:00May 6, 2022|Broker-Dealer, FINRA, Rules and Regulations|

FINRA Rule 4513 defines a "customer complaint" as any grievance [...]

4 02, 2022

Office of Supervisory Jurisdiction (OSJ)
Gallery
Office of Supervisory Jurisdiction (OSJ)
Broker-Dealer, FINRA, Rules and Regulations, Supervision

Office of Supervisory Jurisdiction (OSJ)

By admin|2022-02-04T13:00:45-05:00February 4, 2022|Broker-Dealer, FINRA, Rules and Regulations, Supervision|

An Office of Supervisory Jurisdiction (OSJ) is an office identified [...]