Outside Business Activities
RegEd's Outside Business Activities allows you to manage all disclosures, attestations and amendments of outside business activities from a centralized location. A comprehensive snapshot of all requested outside activities reduces your overall review time and allows you to filter and prioritize outstanding items. Using this product, your reps can easily submit and manage their disclosures. Outside Business Activities provides reps with access to the current U4 OBA record and enables online editing and creation of new disclosure submissions.
Periodic attestation requirements ensure that all current activities are proactively managed. Outside Business Activities allows you to track history and initiate and monitor supervisory review activity. You may also escalate the approval process through a layered supervisory structure, or use automated email notifications to alert and remind review task holders.
Outside Business Activities automates the Form U4 filing process and allows you to file U4 amendments online directly from RegEd using FINRA's WebEFT. It also tracks filing history and allows you to review all important data prior to making a filing decision. Use Outside Business Activities to more efficiently manage your reps' current activities and stay in compliance.