Series 28: Branch Office

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Branch Office...

any location where one or more associated employees is in the business of soliciting or effecting (but not executing) the purchase or sale of any security. An office responsible for supervising the activities of employees at one or more non-branch locations of the member firm is also designated a branch office.

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