Other Prohibited Activities

In this section

• 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.