Prohibited Activities

Pair listening with reading

Follow along with
the written unit.

Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:

• Definition of Market Manipulation
• Types of Market Manipulation
• Penalties for Market Manipulation
• Insider Trading
• Material Nonpublic Information (MNPI)
• Identifying Involved Parties
• Penalties for Insider Trading
• IPO Restrictions
• Manipulative, Deceptive or Fraudulent Devices
• Improper Use of Customer Securities or Funds
• Financial Exploitation of Seniors
• Activities of Unregistered Persons
• Falsifying or Withholding Documents
• Outside Business Activities and Private Securities Transactions

Put this episode into practice with adaptive questions and flashcards in the full SIE course.