FINRA: Private Securities Transactions


This course covers rules and regulations governing the treatment of private securities transactions, and reviews obligations for registered representatives. Scenarios are presented to help registered representatives identify private securities transactions and the appropriate actions to take before engaging in them.

Learning Objectives

Upon completion of this course, students will be able to:

  • recognize private securities transactions. - Describe the requirements surrounding participation in private securities transactions
  • identify appropriate actions to take before engaging in private securities transactions
  • explain the difference between private securities transactions and outside business activities
  • discuss the importance of complying with the rules in this area

Designed For

All registered representatives and registered principals

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