FINRA: Outside Business Activities for Independent Registered Representatives

Overview

This course covers regulations governing the treatment of outside business activities and reviews factors an independent registered representative should consider before participating in an outside business activity or conducting a private securities transaction. Using real industry scenarios, this course illustrates how regulatory requirements for outside business activities apply to independent registered representatives.

Find this course for your license

License or Certification

Regulator

Learning Objectives

understand what are considered outside business activities
understand the firm and regulatory requirements for registered persons, whether contractors or employees of broker-dealers, involved in outside business activities
understand the importance of notifying the firm prior to pursuing outside business activities
understand the consequences of violating firm and regulatory requirements for outside business activities

Designed For:

Registered representatives and registered principals

Course Information

Adding additional credit may change exam requirements.

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