OBA Information Collection Application

Improve and automate collection and reporting of Outside Business Activity among advisors and registered reps. Eliminate the need for paperwork, illegible writing, and data integrity concerns. Designed specifically to address FINRA U-4 filing requirements.


Accurately supervising employee outside business activity is typically managed by the best of 1990’s technology. Cyfeon’s secure OBA Collection and Information System brings compliance practices out of the technology dark ages by securely collecting OBA activity from advisors and reps then tracking, storing and automating that information across your entire organization


• U4 Publishing Directly to FINRA

• Action Item Creation

• Personnel Workflow

• Business Rule Monitoring and Alerts

• Import CRD Information


• Survey wizard

• Document Management and Search

• Validation of Action Workflow

• Ad Hoc Report Generation


• SAML 2.0

• Audit Tracking of Changes

• Role and Group Access Permissions

View our OBA Information Collection Application Brochure