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Which of the following must a registered representative disclose as an outside business activity (OBA)...

Which of the following must a registered representative disclose as an outside business activity (OBA) on his Form U4?

A.

Volunteer work for a local charity

B.

Trustee on a grandparent's estate account

C.

Board member for a publicly traded company

D.

Board member serving without compensation for a not-for-profit entity

FINRA SIE Summary

  • Vendor: FINRA
  • Product: SIE
  • Update on: Aug 4, 2025
  • Questions: 164
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