Outside Business Activities and Private Securities Transactions

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Indiana CLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an Approved CLE Sponsor (106648) by the Indiana Commission For Continuing Legal Education. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Designed to guide attendees on best practices for supervising private security transactions and monitoring outside business activities, this CLE course presented by FINRA panelists will also address common OBA deficiencies found during examinations. Procedures for identifying, documenting and disclosing OBA’s as well as rule changes for OBA’s and PST’s will be discussed. The course will help attendees understand the myriad challenges presented by OBA’s and PST’s and how to monitor and supervise them while remaining alert to potential pitfalls. FINRA’s proposed rule related to OBA’s and PST’s will be presented and analyzed.
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