This course will address the regulation of outside business activities in the securities industry and the supervision within the industry of those engaged in outside business activity. The course is divided into two lessons:
Lesson 1 - Regulation: FINRA Rule 3270 and NASD Rule 3040
Lesson 2 - Supervision and Enforcement
After completing this course, you should be able to:
- Discuss the concept of outside business activity and the need for its regulation.
- Define and distinguish between "outside business activity" and a "private securities transaction."
- Describe the basic provisions of FINRA Rule 3270.
- Describe the basic provisions of NASD Rule 3040.
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