Conflicts of Interest, Criminal Activities, and Other Ethics Issues
16 short videos covering every testable point in this unit. Pick a video below, or read any topic's full written lesson free in the CertFuel app, no signup wall.
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 Read this unit's lessons, free
Every topic in this unit has a full written lesson, free to read in the CertFuel app with no signup wall. When you're ready to drill it, the paid Series 63 course adds adaptive practice questions and spaced-repetition flashcards.