BD- Broker-Dealer Outside Business Activity (OBA) Tracking & Analysis Spreadsheet

The Broker-Dealer Outside Business Activity (OBA) Tracking & Analysis Spreadsheet is a useful tool to satisfy the tracking and analyses of a firm’s registered representatives and their outside business activities in accordance with FINRA Rule 3270 (Outside Business Activities of Registered Persons) and Supplemental Material .01 (Obligations of Member Receiving Notice).  The spreadsheet includes areas for the registered representative name; outside business name, address and description; the two-part analysis by the firm; and documentary evidence of the supervisory review & approval process. Members also downloaded Outside Business Activity (OBA) Disclosure Statement.

Version/Update: V.5-10152019

Total Page Count/Format: 2/.xlsx

Source/Author(s): Connexien