Series 62

By Jeff Van Blarcom AAA

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



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