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FINRA: Outside Business Activities
Overview
This course covers regulations governing the treatment of outside business activities and reviews factors a registered representative should consider before participating in an outside business activity or conducting a private securities transaction.
Find this course for your license
License or Certification
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CFP® Certification CE
FINRA e-Learning
Regulator
Type
Objectives
recognize when you are participating in outside business activities
adhere to industry regulations and your firm's standards when participating in outside business activities
understand the rules and regulations related to outside business activities
recognize the consequences of participating in outside business activities without adhering to the rules and regulations
Designed For:
Registered representatives and registered principals
Course Information
Adding additional credit may change exam requirements.