Series 23 Practice Questions - Series 23 General Securities Principal - Sales Supervisor Module Exam

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Under FINRA Rule 3110, every member firm must designate which of the following as its Office of Supervisory Jurisdiction (OSJ)?

Any branch office that processes transactions Each location at which one or more of the listed supervisory functions (such as final approval of new accounts or order execution) take place Only the firm's headquarters Any office where more than five registered representatives work

Correct Answer:

Each location at which one or more of the listed supervisory functions (such as final approval of new accounts or order execution) take place

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