Outside Business Activities and Private Securities Transactions

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Alaska CLE
Accreditation Info

United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .

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All Courses Available iOS/Android Web

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. Topics discussed: 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.
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