Rules Surrounding Outside Business Activities: Investment Advisers

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 investment adviser, together with scenarios describing cases where broker-dealers have fallen short of full compliance. Please note this course does not meet the requirements of the NASAA IAR CE Model Rule that has been adopted by multiple states. This course does meet Firm Element requirements.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

Upon completion of this course, you should understand:

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

Designed For:

Investment advisers 




Course Information

Adding additional credit may change exam requirements.