Outside Business Activities and Accounts

Overview

This course provides an overview of the rules surrounding outside business activities and accounts and illustrates the difference between outside business activities and volunteer activities and what types of these activities need to be reported to and approved by your broker-dealer firm.

Learning Objectives

Students who successfully complete this course will be able to:

  • identify and define an outside business activity
  • understand the FINRA regulations surrounding outside business activities
  • understand firm standards and responsibilities for monitoring outside business activities
  • know your obligation to report outside business activities
  • identify and report outside accounts

Designed for

All registered representatives and principals

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