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
Type
Learning 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
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Course Information
Adding additional credit may change exam requirements.
| Advanced Preparation: | None |
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