Rules Surrounding Outside Business Activities: Retail

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

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


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:

Retail registered representatives




Course Information

Adding additional credit may change exam requirements.