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...
Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!