Highlights of Outside Business Activities and Private Securities Transactions

Overview

FINRA supervision rules require supervisory principals to oversee outside business activities (OBAs) and private securities transactions (PSTs) of registered representatives and non-registered associated persons. This course provides an orientation to OBAs, PSTs, and related regulatory obligations. Increased regulatory scrutiny has expanded supervisory obligations, making it essential for all broker-dealer personnel to understand these concepts and rules.

Find this course for your license

License or Certification

Regulator

Objectives

have a solid understanding of the nature of the outside business activity
have a solid understanding of regulatory obligations relating to outside business activity
have a solid understanding of private securities transactions
have a solid understanding of when and how you may engage in private securities transactions
understand the supervisory obligations arising from OBAs and PSTs
understand the difference between private securities transactions and a private offering of securities

Designed For:

Registered Representatives

Course Information

Adding additional credit may change exam requirements.

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