EQube’s Brokerage Account addresses associated persons obligation to disclose outside activity. The module provides an easy means for employees to submit requests and obtain approval of brokerage account activity as well as, help firms and compliance officers track and supervise these activities.

  • Ability to capture both inside and outside broker employee account details
  • Effortless process to submit declaration forms and obtain approval
  • Ability to track when renewal of attestation(s) and questionnaires are due
  • And much more

    • EQube's Outside Accounts module helps to fulfill FINRA rule 3270 regulatory requirement.

To inquire about any of the items listed above and additional features please speak with a sales representative.