Outside Business Activities and Private Securities Transactions

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Georgia CLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a provider of CLE courses in Georgia approved by the Georgia Commission on Continuing Lawyer Competency, sponsor #3730. To view our full accreditation details please .

All Courses Available iOS/Android Web

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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