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 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 such activities are conducted, and the implications of asking forgiveness after.
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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