Webinar: Current Regulatory Issues Concerning Outside Business Activities

Description: FINRA’s supervision of Outside Business Activities (OBAs) discussion includes OBA requirements, exam trends, and best practices.

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Webinar: Current Regulatory Issues Concerning Outside Business Activities

FINRA continues to make the supervision of Outside Business Activities a top exam priority, as outlined in its 2017 Regulatory and Examination Priorities Letter:

“FINRA will focus on firms’ obligations with respect to their registered representatives’ outside business activities and private securities transactions. We will continue to evaluate firms’ procedures to review registered persons’ written notifications of proposed outside business activities, including firms’ consideration of whether the proposed outside business activities may compromise a registered person’s responsibilities to the firm’s clients or be viewed as part of the firm’s business. FINRA will also focus on firms’ procedures for handling associated persons’ notifications of proposed private securities transactions and firms’ ongoing supervision over associated persons’ approved private securities transactions for compensation.”
– 2017 Regulatory and Examination Priorities Letter 

Join RegEd and Eversheds Sutherland (US) LLP for the upcoming webinar,OBAs: Current Regulatory Issues Concerning Outside Business Activities. RegEd’s Ann Robinson and Eversheds Sutherland (US) attorneys Clifford Kirsch and Brian Rubin will talk extensively about Outside Business Activities (OBAs).

Topics that will be covered
  • Requirements for OBAs
  • Examination trends
  • Recent enforcement actions
  • Compliance considerations
  • Technology-enabled best practices
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