Outside Business Activities: Guidance for the Retail-Focused Registered Representative

Overview

This course discusses the rules on outside business activities for the retail broker-dealer, including required disclosures, prohibited activities, and compliance concerns. 

Learning Objectives

Upon completion of this course, you will: 

  • understand the rules surrounding your outside business activities
  • understand disclosure obligations for outside business activities, and
  • understand the sanctions applicable to failure to follow these rules.

Intended Audience

Retail Registered Representatives 

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