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Annual Certification and Notice of Exemption
regulatory requirements and reporting obligations on a periodic basis
Total Page Count: 6
This NDA helps firms establish standard guidelines for ensuring that nonpublic personal information ("NPI") within the meaning of applicable privacy laws and regulations relating to customers of the firm or its affiliates is properly protected
2/October 3
IA- Outside Business Activities (OBA) Disclosure Statement Resources Annual Certification and Notice ofThe Outside Business Activities (OBA) Disclosure Statement serves as an important part of an investment advisers overall compliance program by meeting certain disclosure and reporting requirements under SEC Rule 206(4) 7 and Rule 204A 1 and or similar state requirements. The OBA Disclosure Statement allows for registered advisory representatives and or access persons to disclose and report all applicable outside business activities to the advisory
