BD- Outside Business Activities (OBA) Tracking & Analysis Spreadsheet

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 the supervisory review & approval process.

Version/Update: V.4/June 20, 2017

Total Page Count: 1

Source/Author(s): Connexien