Series 14: 5.1.4.1. Designation Of OSJ General Securities Principal

Taken from our Series 14 Online Guide

5.1.4.1. Designation of OSJ General Securities Principal

Each OSJ is required to designate at least one General Securities Principal to be responsible for the supervision, not only of the activities of the registered representatives and other principals in its own office, but also in any branch office under its jurisdiction. This General Securities Principal must be physically present a

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