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.
Language: English
