Recommendations Professional Conduct And Taxation - Outside Employment

If a registered representative wants to obtain employment outside of their position, with a member firm, the registered representative must first obtain the employing member’s prior approval. Exceptions to this rule are if the registered representative is a passive investor in a business or if the representative owns rental property. All other outside business activities must be disclosed and require prior approval of the member firm.

Series 62 Training Resources

Private Securities Transactions
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