Chapter 17: Prohibited Activities

In this section

• Market Manipulation
  • Understanding Market Manipulation: Definition & Types
    Explore market manipulation, its definition and types, including spreading rumors and pump and dump schemes in securities trading.
  • Master Market Manipulation: Specific Manipulative Activities
    Learn about market manipulation tactics like front running, marking the open/close, backing away, and freeriding to pass the FINRA SIE Exam.
• Insider Trading
  • Understand Trading & Prohibited Activities: Insider Trading Regulations
    Explore insider trading, define material nonpublic information, and understand penalties under trading regulations to ace your SIE exam.
  • Master Insider Trading: Identify Involved Parties & Liabilities
    Comprehend insider trading dynamics, from identifying insiders to grasping tipper and tippee liabilities in prohibited trading activities.
• Other Prohibited Activities
  • Mastering IPO Purchase Restrictions and Prohibited Activities
    Learn about IPO purchase restrictions and other prohibited activities to ensure compliance and ethical trading practices in the securities industry.
  • Avoiding Fraudulent Practices: Essential Guidelines
    Explore fraudulent practices and prohibited activities in securities to safeguard against manipulative devices. Essential insights for industry representatives.
  • Master Securities Compliance: Avoid Improper Use of Assets
    Explore the rules against borrowing/lending from customers, necessary approvals, and adhere to securities compliance for the efficient management of customer assets.
  • Protect Seniors: Combat Financial Exploitation in Securities
    Learn to recognize and prevent financial exploitation of seniors in securities trading and protect against prohibited activities in the industry.
  • Navigating Activities of Unregistered Persons in Securities
    Explore prohibited activities for unregistered individuals in securities, focusing on solicitation prohibitions and commission limitations.
  • Preventing Document Fraud: Compliance and Regulation Insights
    Comprehensive guide to falsifying or withholding documents, its serious implications, and regulatory compliance in the securities industry.
  • Master Accurate Record-Keeping in Books & Records Violations
    Unveil key aspects of accurate record-keeping and common books and records violations to ace the FINRA SIE Exam effortlessly.