Outside Business Activities: Guidance for the Institutional-Focused Registered Representative
Overview
This course discusses the rules on outside business activities for the institutional broker-dealer including required disclosures, prohibited activities and compliance concerns.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Understand the rules surrounding your outside business activities
- Understand disclosure obligations for outside business activities
- Understand the sanctions applicable to failure to follow these rules
Designed For:
Institutional registered representatives
Course Information
Adding additional credit may change exam requirements.
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S1-31 - Framework