FINRA: Outside Business Activities
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.
Find this course for your license
License or Certification
Regulator
Type
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
Course Information
Adding additional credit may change exam requirements.
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S2-31 - Framework