OSJ

Under FINRA rules, an Office of Supervisory Jurisdiction is a location where certain supervisory functions happen — approving new accounts, reviewing and endorsing transactions, maintaining customer records, and supervising the registered reps assigned to it and to the branches beneath it.

For an advisor affiliating with an independent broker-dealer, the OSJ is the supervisory home for their business, and the OSJ arrangement shapes how paperwork is reviewed and approved. Larger OSJs supervise many downstream offices, which is part of why clean, consistent transition paperwork matters at scale.