Outside Business Activity And Dba Form printable pdf download

OUTSIDE BUSINESS ACTIVITY AND DBA FORM

Introduction

FINRA Rule 3270 Outside Business Activities of Registered Persons: Prohibits any registered person from

being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or

being compensated, or having the reasonable expectation of compensation, from another person as a result of

any business activity, other than passive investment, outside the scope of the relationship with his/her broker-

dealer, unless he/she has provided prior written notice to the broker-dealer and received written approval. Such

notice shall be in the form required by the broker-dealer.

Print your name __________________________________Branch Office # (Required)___________

Check the following applicable box(es) (both may apply)

I am a REGISTERED REPRESENTATIVE

I am an INVESTMENT ADVISOR REPRESENTATIVE

Securities Business Address:____________________________City________________State____Zip_________

Do you share office space with another business?

Yes

If yes, provide details:____________________

__________________________________________________________________________________________

Discontinued Outside Business Activity — (Skip to Item #29)

1. DBA DISCLOSURE:

If you are initiating a “DBA” or does this OBA involve a “DBA”?

YES

DBA : The phrase “doing business as” (abbreviated DBA, dba or d/b/a) is a legal term, meaning that the

fictitious business, under which the business or operation is conducted and presented to the public is not the

legal name of the legal person (or persons) who actually own and are responsible for the business.

If you answered “Yes”, complete this section:

Are you conducting business under a DBA?

YES

If yes, provide: Name: _________________________________________________

Start Date____/_____/_______

DBA Business Address:__________________________________________________________________________

Please indicate if your DBA is an

LLC

LLP

C Corp

S Corp

Other

____________________ N/A

Do you have a website for your DBA? Yes

Website address: ____________________________________

2. Insurance Activity Disclosure

Check all that apply.

Life

Annuities

Health

Dental

P&C

LTC

Medicare

Life Settlements

Are you conducting your insurance business under the same business name as your securities business? Yes

Insurance Business Name:_______________________________________ Start Date_____/_____/________

DBA Business Address:______________________________________City _________________ ZIP _______

Your relationship to this activity:

Owner

Independent Contractor

Employee Other

_______________

Estimated current annual income $ _____

Description of duties (not your title/position) relative to this activity:

_____________________________________________________________________________________________

M:FAFSERVER DOCSFIRST ASSET FINANCIALFAF FormsRep Outsde Activity FormsOutside Business Activity Form 8-13.doc

Outside Business Activity And Dba Form

Related Articles

Related forms

Related Categories