4.4 Prohibited Activities

In this section

• Insider Trading: Understanding and Preventing Unlawful Practices
  Explore the intricacies of insider trading, its legal framework, penalties, and responsibilities of securities professionals. Learn how to identify and prevent insider trading violations.
• Market Manipulation: Understanding and Preventing Manipulative Trading Practices
  Explore the intricacies of market manipulation, its types, regulatory frameworks, and prevention strategies to ace the SIE Exam and safeguard the integrity of financial markets.
• Fraudulent Activities in Securities: Understanding and Prevention
  Explore the intricacies of fraudulent activities in the securities industry, including common types, regulatory frameworks, penalties, and prevention measures. This comprehensive guide is essential for anyone preparing for the SIE Exam or working in the securities field.
• Unauthorized Transactions in Securities Accounts: Understanding and Prevention
  Explore the intricacies of unauthorized transactions in securities accounts, including types, regulatory requirements, consequences, and preventive measures. Learn about FINRA Rule 3260 and how to protect against unauthorized trading.
• Selling Away and Outside Business Activities: Understanding Prohibited Activities in Securities
  Explore the intricacies of Selling Away and Outside Business Activities in the securities industry. Learn about regulatory frameworks, compliance steps, and the consequences of violations.
• Churning and Excessive Trading: Understanding and Preventing Unethical Practices in Securities Trading
  Learn about churning and excessive trading, their indicators, regulatory framework, consequences, and prevention measures in the securities industry.
• Borrowing From or Lending to Customers: Key Considerations for Compliance
  Explore the regulatory framework, permitted arrangements, and compliance responsibilities associated with borrowing from or lending to customers in the securities industry. Understand the risks, firm responsibilities, and consequences of non-compliance under FINRA Rule 3240.
• Sharing in Customer Accounts and Guarantees
  Explore the regulatory framework, prohibitions, and best practices related to sharing in customer accounts and guarantees in the securities industry. Learn about FINRA Rule 2150 and its implications for registered representatives.