Series 63 podcast · Episode 22
Conflicts of Interest, Criminal Activities, and Other Ethics Issues
44 min of listening
Ethical Practices and Obligations. Available inside the full CertFuel Series 63 course in the app.
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:
- NASAA Dishonest Practices - Broker-Dealers and Agents
- Churning (Excessive Trading)
- Manipulative, Deceptive, and Fraudulent Devices
- Front-Running
- Loans to and from Customers
- Sharing in Profits and Losses
- Spoofing and Layering
- Insider Trading
- Selling Away
- Outside Securities Accounts
- Agency Cross Transactions
- Exploitation of Vulnerable Adults (NASAA Model Act, 2016)
- Principal Transactions by Investment Advisers
- Other Prohibited Activities
- Investment Company Share Practices
- Conflicts of Interest - Disclosure and Management
Put this episode into practice with adaptive questions and flashcards in the full Series 63 course.