Outside Business Activities and Private Securities Transactions

SKU: FIN5400

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About This Course

This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effective practices regarding policies and procedures for identifying, documenting and disclosing OBAs. FINRA will also discuss the recently proposed rule changes related to OBAs and PSTs.

After attending this session, you will be able to:

  • Understand the challenges firms are facing related to OBAs and PSTs.
  • Develop effective practices related to monitoring and supervising OBAs and PSTs.
  • Identify red flags and potential issues regarding OBAs and PSTs.
  • Understand the areas of focus on examinations related to OBAs and PSTs, examination deficiencies and ways firms are addressing them.
  • Understand FINRA’s proposed rule related to OBAs and PSTs.

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