Rules Surrounding Outside Business Activities: Retail


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 retail broker-dealer, together with scenarios describing cases where broker-dealers have fallen short of full compliance. 

Learning 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

Registered representatives working with retail clients 

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License or Certification