OSJ definition
Examples of OSJ in a sentence
The Placement Agent is an OSJ branch office of Dunwoody Brokerage Services, Inc., a licensed NASD broker-dealer, and a member of SIPC.
The Placement Agent is an OSJ branch office of Dunwoody 91 Brokerage Services, Inc., a licensed NASD broker-dealer, and a member of SIPC.
Permission to receive information via email (Initial) X Email Address: Signature of Plan Representative/Trustee Date Signature of GWN Registered Representative Date OSJ Principal’s Signature Date Registered Rep Number “Effective May 1, 2005” The undersigned and GWN Securities, Inc.
Such office shall meet the NASD requirements for an OSJ and shall be available for occupancy by NTB representatives at all times reasonably necessary to provide the Services.
Schedule 4.10 sets forth a true and complete list of (i) the Business Employees as of the date hereof and (ii) each registered representative, investment advisor representative, OSJ manager or any other person paid commissions or other compensation by Seller in the twelve (12) month period ending July 15, 2014.
The designation and operation as an OSJ will commence immediately.
Identifying, screening and qualifying of prospective clearing firm clients, strategic partners, management personnel and developing the office of supervisory jurisdiction (OSJ) offices.
Subject to the terms and conditions of this Agreement and in reliance on the representations and warranties contained herein, the Corporation hereby appoints the Principals to provide risk management of and operational and back office support for the branch offices of SFIG including all such branch offices designated as Offices of Supervisory Jurisdiction (OSJ) registered with the National Association of Securities Dealers, Inc.
To the extent possible, in the event OPN will be an OSJ of NSC, the National Investment shall be contributed to NSC to be held in a separate account granting exclusive signing authority to ▇▇▇▇▇▇▇ ▇▇▇▇▇, or a designee of the Lead Investor; provided ▇▇▇▇▇▇▇ ▇▇▇▇▇ or such designee is a registered representative with NSC with the goal of allowing such National Investment to be treated as ‘good capital’ for net capital purposes, subject to applicable regulatory requirements and NSC supervisory procedures.
In furtherance of the foregoing, the Subject OSJ Agreement and each of the Registered Representatives and or Sub-Associates shall not be terminated without the prior consent of PMC and Global Holdings (which shall not be unreasonably withheld).