Outside Business Activities and Private Securities Transactions: 2019-2020 Update

SKU: FIN7700

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About This Course

Outside business activities (OBAs) and private securities transactions (PSTs) are regulatory and examination priorities, as they can both result in conflicts of interest that firms must understand and, as necessary, mitigate. Join industry practitioners and FINRA staff, in this advanced session, as they cover conflicts arising from OBAs and PSTs, and keys to handling them and complying with regulatory requirements, including situation involving dually registered advisors. Panelists also discuss proposed changes to the OBA and PST rules.

Topics discussed:

  • 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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