FINRA: Outside Business Activities for Wholesalers

Overview

This course covers regulations governing the treatment of outside business activities and reviews factors registered wholesalers—who are required to know and follow FINRA rules as well as firm policies and procedures governing outside business activities—should consider before participating in an outside business activity or conducting a private securities transaction.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand what are considered to be outside business activities
  • understand the firm and regulatory requirements for registered persons involved in outside business activities and how they relate to your daily business activities with broker-dealers
  • 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

Wholesaler

Find Courses Now