BD- Outside Business Activities (OBA) Tracking & Analysis Spreadsheet
BD- Outside Business Activities (OBA) Tracking & Analysis Spreadsheet
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This document has been updated from its previous version- See Broker-Dealer Outside Business Activity (OBA) Tracking & Analysis Log V.6-03312023 for update.
The Broker-Dealer Outside Business Activity (OBA) Tracking & Analysis spreadsheet is a useful tool to satisfy the tracking and analysis 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 date; name of the registered representative; name, address and description of the OBA; the two-part analysis conducted by the firm; and documentary evidence of supervisory review & approval. Members also downloaded Outside Business Activity (OBA) Disclosure Statement.
Version/Update: V.6-03312023
Total Page Count/Format: 1/.xlsx (landscape)
Source/Author(s): Connexien