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How to fill out the Outside Business Activity Approval Form - Swsfinancialcom online
Filling out the Outside Business Activity Approval Form is a crucial step for employees intending to engage in additional business activities. This guide provides clear instructions to ensure you complete the form accurately and efficiently.
Follow the steps to successfully complete the approval form.
- Click ‘Get Form’ button to obtain the form and open it in the editor.
- Fill in your employee name in the designated field. Ensure that you provide your full legal name as it appears in company records.
- Specify your department or branch to help identify your position within the organization.
- Enter the name of the outside business you are looking to engage with. This should be the officially registered name of the company.
- Indicate whether the business is investment-related by selecting 'Yes' or 'No'.
- Provide the complete address of the outside business to ensure accurate identification.
- Describe the nature of the business in detail, including the industry in which it operates.
- State your position, title, or relationship with the outside business clearly. This will establish your role in the external entity.
- Input the start date you plan to begin with the business, ensuring the format is consistent with any required date styling.
- Offer a detailed description of the outside activity you intend to partake in. This should include specific tasks and responsibilities.
- If applicable, list all parties involved in the business venture on the reverse side of the form.
- Detail the amount and type of compensation involved with this outside activity. If no compensation is expected, please note 'N/A'.
- Specify the amount of time you plan to devote to this outside activity during business hours.
- Indicate the number of non-business hours you will dedicate to the outside activity.
- Describe any possible conflicts of interest in relation to your current position within SWS Financial Services.
- State whether the proposed activity will involve any customers of SWS Financial Services by selecting 'Yes' or 'No'. If 'Yes', list the customer names and account numbers.
- Sign and date the form in the designated fields for the registered representative.
- Have the Regional OSJ Manager and Branch OSJ Manager sign the form to provide the necessary approvals.
- Once complete, forward the form to your OSJ Manager for further processing.
- After obtaining necessary approvals, save changes, download, print, or share the form as required.
Complete your Outside Business Activity Approval Form online today to ensure compliance and transparency.
A person may be engaged in an outside business activity if they are a) employed by any other person or entity; b) receiving compensation from any other person or entity; c) serving as an officer, director, or partner of another entity; or d) serving in a fiduciary capacity (e.g., trustee, executor or power of attorney) ...
Fill Outside Business Activity Approval Form - Swsfinancialcom
The following are some examples of the types of outside activities that would require you to complete and sign an Outside. Business Activity form: -Trustee. I have disclosed all required outside business activities in the "Disclosure of Outside Business Activity" form. This information is accurate and truthful. Confused about FINRA's OBA rules? Create unlimited, custom-defined forms tailored to your organization's needs. Incorporate cascading questions, custom fields, and specific activity types. My advice to you is to fill out the request form, tell your bosses that you did so and that compliance is probably going to reach out for their approval. The rule is designed to prevent FAs from engaging in outside business activities absent written approval from the member firm. Firms need to ensure that their reps fill out an outside business activity disclosure form for all OBAs they are compensated for.
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