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CoordinatedCapitalSecurities, Inc.704RiverPlaceMadisonWI53716(608)2214545OUTSIDEBUSINESSACTIVITYDISCLOSURE
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FINANCIALREPRESENTATIVENAME:REP#
IamawareoftherequirementsunderFINRARule3270thatpriortoengaginginanyoutsidebusinessactivity(not
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How to fill out iamawareofformrequirementsunderfinrarule3270thatpriortoengaginginanyoutsidebusinessactivitynot
01
To fill out the IAM aware of Form Requirements under FINRA Rule 3270, follow the steps below:
02
Begin by downloading the IAM aware of Form Requirements under FINRA Rule 3270 from the official FINRA website.
03
Read the instructions carefully to understand the specific requirements and obligations.
04
Fill in your personal information, including your name, FINRA registration number, and contact details.
05
Provide information about the outside business activity you intend to engage in.
06
Describe how the outside business activity is related or unrelated to your primary employment.
07
Indicate whether you have received or anticipate receiving compensation from the outside business activity.
08
Disclose any conflicts of interest that may arise due to the outside business activity.
09
Sign and date the form to certify its accuracy and completeness.
10
Submit the filled-out form to your firm's compliance department for review and approval.
11
Keep a copy of the form for your records.
Who needs iamawareofformrequirementsunderfinrarule3270thatpriortoengaginginanyoutsidebusinessactivitynot?
01
Any individual who is subject to FINRA Rule 3270 and plans to engage in any outside business activity needs to fill out the IAM aware of Form Requirements under FINRA Rule 3270.
02
This rule applies to individuals who are associated with a FINRA member firm, including registered representatives, investment advisors, and other associated persons.
03
It is essential for these individuals to understand and comply with the requirements to ensure regulatory compliance and proper disclosure of outside business activities.
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