Overview
This course covers regulations governing the treatment of outside business activities and reviews factors a registered representative should consider before participating in an outside business activity or conducting a private securities transaction.
Learning Objectives
- recognize when you are participating in outside business activities
- adhere to industry regulations and your firm's standards when participating in outside business activities
- understand the rules and regulations related to outside business activities
- recognize the consequences of participating in outside business activities without adhering to the rules and regulations
Designed For
Registered representatives and registered principals
Find this course for your license:
License or Certification
Regulator
Type