Outside Business Activities and Accounts


This course provides an overview of the rules surrounding outside business activities and accounts and illustrates the difference between outside business activities and volunteer activities and what types of these activities need to be reported to and approved by your broker-dealer firm.

Learning Objectives

Students who successfully complete this course will be able to:

  • identify and define an outside business activity
  • understand the FINRA regulations surrounding outside business activities
  • understand firm standards and responsibilities for monitoring outside business activities
  • know your obligation to report outside business activities
  • identify and report outside accounts

Designed For

All registered representatives and principals

Advanced Preparation


WebCE® is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org. For more information regarding WebCE administrative policies such as refunds, cancellations and concerns, please contact Support Services at 877-488-9308.

Find this course for your license:

License or Certification