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

Overview

This course discusses the rules on outside business activities for the institutional 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

Institutional Registered Reprentative

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