At the conclusion of this course, you will be able to:
- Review the language and meaning of FINRA Rule 3270 and tangentially hear of related Rules 3040 and 3050.
- Think about an employer's perspective on outside business activities.
- Distinguish between the reporting requirements under FINRA and the additional rules that individual Broker-Dealers may impose.
- Consider the choices and logic in hypothetical and real situations.
- Review recent FINRA sanctions involving outside business activities.
- Review FINRA guidelines for sanctions involving outside business activities.
End of Course Instructions
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