Overview
While many rules are straightforward and seem simple to follow, others carry with them so much room for interpretation that they are often violated. Outside business activities rules fall into this latter category. To assist you, this course discusses outside business activities rules for the institutional broker-dealer, together with scenarios describing cases where broker-dealers have fallen short of full compliance.
Learning Objectives
- Understand the rules surrounding outside business activities
- Comprehend the disclosure obligations for outside business activities
- Recognize the ongoing supervisory obligations for outside business activities
- Identify the sanctions for failing to follow these rules
Designed For
Institutional registered representatives
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