Outside Business Activities (Interactive)
Enroll in Just This Course - $25.00
- Course Delivery: On Demand
- Duration: 1
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
Congratulations! You have successfully completed your online course; you may now print your certificate(s) online from your default login page (you may need to refresh this page)
Why Choose 360training.com?
- Fast and easy courses completion
- Get an education faster than at traditional colleges!
- 100% online - No classroom attendance required.
- Unlimited 24x7 online customer support
- Over 500,000+ certified nationwide.
Got questions? Contact us below or call 877-881-2235