FINRA: Outside Business Activities

Course Description

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 Objective(s)

By taking this course, you will be able to:

  • 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.

Complexity

Intermediate