BD- Outside Business Activity (OBA) Disclosure Statement

The updated Broker-Dealer Outside Business Activities (OBA) Disclosure Statement is a useful tool for supervising 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 OBA Statement allows for the initial request and/or update of a registered representative's outside business activities and documentary evidence of a firm's supervisory review & approval process. Members also downloaded Outside Business Activity (OBA) Tracking & Analysis Spreadsheet.

Version/Update: V.5/May 10, 2024

Total Page Count/Format: 2/.pdf (fillable)

Source/Author(s): Connexien