Outside Business Activity Request
The firm must be notified of outside business activities of is associated persons (licensed or not licensed) in order to determine if any of those activities create a conflict of interest or create a disclosure obligation. An outside business activity is defined as any activity that an associated person participates in outside of their duties at their employing firm. It should be noted that all outside activities must be reported to the firm and the obligation to report is not dependent upon whether the person receives monetary compensation.
Name
First Name
Last Name
Firm Name*Employee
StatusDate
No Reportable OBAs
Is the Firm related to the Adviser?
Investment Related
Yes
No
Business Address
Address Line 1
Address Line 2
City / District
State / Province
Postal Code
Position or Title
OBA Start Date MM-dd-yyyy
Hours Per Month @ OBA
OBA Conducted During Trading Hours
Yes
No
Describe OBA Duties
Describe the Compensation Structure and Amount
If board member or trustee, does firm manage accounts?
Yes
No