Prohibited Activities
14 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.
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 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. The complete SIE course in the app is free too, including adaptive practice questions and spaced-repetition flashcards.