Ch 21: Prohibited Activities in the Financial Industry

About This Chapter

Get a better understanding of activities that are prohibited in the financial industry by exploring this engaging chapter. Studying bite-sized lessons and taking self-assessment quizzes can get you on the right track toward success on a future exam.

Prohibited Activities in the Financial Industry - Chapter Summary

Engaging lessons in this chapter are designed to quickly boost your comprehension of various prohibited financial industry activities. Learn about or get reacquainted with market manipulation, securities fraud and insider trading with help from our expert instructors. Completing this chapter will prepare you to do the following:

  • Define and describe forms of market manipulation
  • Discuss regulations and penalties associated with securities fraud and insider trading
  • Describe parties and disclosures related to insider trading

Tailor your study of this chapter based on your personal schedule and current understanding of lesson concepts. Navigate the lessons in any sequence, visit as often as you'd like and study during the timeframes you choose, thanks to around-the-clock computer and mobile access. If you need any help grasping specific concepts, be sure to stop by the dashboard where you can submit questions to our experts. When ready, check your knowledge of this chapter by taking mini quizzes and a practice exam.

Chapter Practice Exam
Test your knowledge of this chapter with a 30 question practice chapter exam.
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Practice Final Exam
Test your knowledge of the entire course with a 50 question practice final exam.
Not Taken

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