Outside Business Activities and Accounts

Overview

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.

Find this course for your license

License or Certification

Regulator

Objectives

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:

Registered representatives and principals

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.

Course Information

Adding additional credit may change exam requirements.

Advanced Preparation:

None

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