FINRA: Outside Business Activities

Overview

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 Objectives

Upon completion of this course, students 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

Designed For

All registered representatives and registered principals
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