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Some of my friends recommend clenching and unclenching my buttocks during the exam. Personally, I prefer not to receive advice about my hindquarters during times of stress.

Outside Business Activities

Dashboard > Violations > Outside Business Activities

Outside Business Activities

Let's say that one day, you, the star registered investment professional of Treasure Chest Management LLC, decide that working for the firm is okay, but that you could really make a killing by doing some business of your own outside of your duties at the firm.

Well, you got some 'splainin' to do before you can act on your impulses. A registered rep who decides to pursue outside business activities must first assure his employer that there are no conflicts of interest between the firm and the...

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