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Ships within 48 hours · Estimated delivery Aug 15 - Aug 20
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Description
BD- Outside Business Activity (OBA) Disclosure StatementThe 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
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
Shipping Notes
- Free Standard Shipping on $100+ Orders to the USA.
- Except Preorder products are shipped in 48 hours.
- Delivery to the USA:
- Standard Shipping : 3-10 business days
- If time is of the essence, please consider selecting expedited delivery for faster service.
Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
- To process your return/exchange, please contact us at [email protected]
- Please click here for more details>>> Return & Exchange Policy