Outside Business Activities and Private Securities Transactions: 2019-2020 Update

Accreditation Wreath Icon AL
SKU: FIN7700
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

There are a variety of conflicts of interests that may, and often do, arise as a result of regulatory and examination priorities such as outside business activities (OBA) and private security transactions (PST’s). This CLE course, presented by FINRA staff and industry practitioners, will explain how to understand and mitigate these conflicts as well as comply with regulatory requirements. The course will explain how to handle situations of dually registered advisors and understand the many challenges that firms face related to OBA’s and PST’s. Developing effective monitoring and supervision practices, tips and strategies for recognizing potential pitfalls, FINRA’s proposed rule pertaining to as well as proposed changes to OBA’s and PST’s will all be addressed.
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