Get Keystone Capital Oba Disclosure Form

This guide provides a clear and user-friendly approach to completing the Keystone Capital Outside Business Activities Disclosure Form online. It outlines each section and field of the form, ensuring that you understand what is required for a thorough and compliant submission.

Follow the steps to successfully complete the form online.

1. Click ‘Get Form’ button to obtain the disclosure form and open it in the online editor for completion.
2. Review the mandatory disclosure section. Here, you must indicate whether you are currently engaged in any outside business activities. If you are not engaged in any activities, check the first box and proceed to Section 2. If you are requesting approval for a new activity, select the second option and complete Sections 1 and 2.
3. In Section 1, provide a detailed description of the name under which the outside activity will be conducted. Select the type of business entity from the options provided—corporation, partnership, sole proprietorship, or limited liability company—by marking the appropriate checkbox.
4. Indicate whether you intend to seek investments in this business from customers or others. If yes, attach a detailed description of your intentions.
5. Specify the type and nature of your business by selecting from the various options listed, including legal, insurance, real estate, investment advisory, and others. If your business type is not listed, describe it in the provided space.
6. Detail your role within this business by marking the appropriate checkbox for employee, officer, director, trustee, or owner. If you are an owner, indicate your percentage of ownership and list any other owners along with their respective ownership percentages.
7. Include supporting documents such as stationery or business cards, and provide the business’s website if applicable. Fill in the proposed start and end dates as well as the estimated time devoted to the activity each week.
8. Clearly state the expected compensation from this activity per year and the percentage of total annual compensation attributable to the activity.
9. List the names of any registered representatives or clients involved with the activity. If necessary, attach a separate sheet for additional names.
10. In Section 2, review the attestations regarding the FINRA requirements. Sign and date the form, ensuring your name is printed clearly.
11. Once all sections are completed and reviewed for accuracy, you can save changes, download the document, print it, or share it as needed.

Ensure you complete your disclosure form accurately and promptly to maintain compliance. Start filling out the Keystone Capital OBA Disclosure Form online now.