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.
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
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License or Certification
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Type