Outside Business Activities: Guidance for the Institutional-Focused Registered Representative

Overview

This course discusses the rules on outside business activities for the institutional broker-dealer including required disclosures, prohibited activities and compliance concerns.

Find this course for your license

License or Certification

Regulator

Objectives

Understand the rules surrounding your outside business activities
Understand disclosure obligations for outside business activities
Understand the sanctions applicable to failure to follow these rules

Designed For:

Institutional registered representatives

Course Information

Adding additional credit may change exam requirements.

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