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  • Outside Business Activity Request Form Revised 05 24 2011.doc

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OUTSIDE BUSINESS ACTIVITY REQUEST FORM (Use a separate form for each activity reported) Rep s Printed Name Date You are required to report and receive approval for business activities outside of your.

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Understanding the regulations and guidelines surrounding outside business activities (OBAs) is crucial for registered representatives in the financial industry.

As noted above, the outside business activities of all approved persons must be disclosed in ance with Form 33-109F4.

While quite broadly defined, OBAs include any work for which a rep is paid (or expects to be paid) that is outside of the rep's role with the firm. Passive, personal investments and blind trusts, however, do not qualify as OBAs.

FINRA Rules 3270 (Outside Business Activities of Registered Persons) and 3280 (Private Securities Transactions of an Associated Person) require registered representatives to notify their firms in writing of proposed outside business activities (OBAs), and all associated persons to notify their firms in writing of ...

OBA refers to any activity an individual engages in outside of their primary employment, such as freelance work, consulting, entrepreneurial ventures, board memberships or involvement in professional organisations.

An OBA is defined as any business activity that a registered representative engages in that is not conducted on behalf of their member firm. Examples of OBAs can include consulting work, teaching, or even running a small business.

While quite broadly defined, OBAs include any work for which a rep is paid (or expects to be paid) that is outside of the rep's role with the firm. Passive, personal investments and blind trusts, however, do not qualify as OBAs.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232