Broker Dealer Solutions

Branch Manager and OSJ Manager Education

Supervisory SeminarsB/D Solutions offers on-site or classroom training focused specifically on the challenges of being a Branch Manager or Office of Supervisory Jurisdiction Manager.

In today's regulatory climate, supervisory principals are required to understand more than the firm's written supervisory procedures and operating policies. Branch Managers and OSJ Managers are more effective in the monitoring and oversight of branch compliance and operations when they are aware of the "Why" and "How" of supervision, not just the "What."

Reasons to attend a Supervisory Seminar:

  • Increase the depth and detail of understanding for your Branch Managers.

  • The Series 24 license is not representative of the day-to-day challenges of supervision.

  • Use it as a summer school requirement because of a compliance problem or poor review during a branch office audit.

  • It is a truly meaningful firm element requirement of the FINRA required Continuing Education program.

Seminar agenda:

The seminar agenda can be adjusted to target the specific markets and types of Broker/Dealers. We focus on the specific problem areas or areas of concern within your firm.

Potential Agenda Topics:

  • History and evolution of supervision

  • What the rules really say

  • What the rules really mean

  • How to stay out of the cross-hairs

  • Red flags for misconduct and fraud

  • How to reduce the burden of supervision and increase its effectiveness

  • How much supervision is too much

  • How to conduct a thorough and effective branch office audit

  • What is suitability

The supervisory seminar is held in an open classroom with experienced instructors. This is not a "cram course" for the series examinations. Our goal is to provide useful knowledge and an appreciation for the role of Branch Manager or OSJ Manager.

If your firm is truly serious about improving the knowledge and training of your branch office managers and OSJ managers, and you wish to discuss scheduling a supervisory seminar for your firm, contact us today.


B/D Solutions Consulting • 4060 Peachtree Road,
Suite D #322 • Atlanta, GA 30319 • 877-423-4636 • Copyright © 2004
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