Identifying and Avoiding 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:

• Trading Ahead of Research Reports
• Front Running of Block Transactions
• Use of Material Nonpublic Information for Insider Trading
• Manipulation of Security Prices
• Use of Trading Schemes
• Engaging in Conduct That Influences or Intimidates Other Market Participants
• Payments Involving Publications That Influence the Market Price of a Security
• Order Entry and Execution Practices

Put this episode into practice with adaptive questions and flashcards in the full Series 57 course.