Firm Element Outside Business Activities

Outside Business Activities

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1 

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The number of FINRA sanctions against registered personnel engaged in outside business activities without their Broker-Dealers' authorization underscores the importance of reviewing the term, 'outside business activity,' as well as relevant FINRA rules and a sample of pertinent fines, suspensions, and other penalties. The goal of this course is to help registered representatives and their supervisors understand the importance of asking permission before, and the implications of asking forgiveness after, such activities are conducted.

Topics Covered

This course covers the following topics: Lesson 1: What is a Life Settlement? Lesson 2: In Search of Options and Opportunities Lesson 3: Reasons for Abandoning a Life Insurance Policy Lesson 4: Life Insurance Companies Offer No Viable Exit Strategy Lesson 5: Historical Overview: The Evolution of a Secondary Market Lesson 6: When to Consider a Life Settlement Lesson 7: The Benefits of a Life Settlement Lesson 8: Life Settlement Scenarios Lesson 9: The Life Settlement Process Lesson 10: What to Look for in a Life Settlement



End of Course Instructions

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Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.


You will be required to pass the final exam with a 70% in order to receive course credit.

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