Capture, review, and approve outside business activity and private securities transaction disclosures. EQube enforces supervisory workflows under FINRA Rule 3270 and Rule 3280.
Employee OBA disclosure submission with structured questionnaire.
Compliance review and supervisory approval workflow.
Annual OBA verification and re-attestation campaigns.
Private securities transaction (PST) disclosure and supervision under FINRA Rule 3280.
Conflict of interest screening during OBA review process.