8.5 Prohibited Activities

In this section

• Unauthorized Trading: Understanding and Preventing Unauthorized Transactions in Securities Accounts
  Explore the intricacies of unauthorized trading, its legal and ethical implications, and how to prevent it. Learn about the regulatory framework, the importance of client consent, and best practices for compliance in securities transactions.
• Market Manipulation in Securities Transactions: Understanding and Preventing Fraud
  Explore the intricacies of market manipulation, its impact on investors, and the regulatory measures in place to prevent it. Learn about different types of manipulative practices, real-world examples, and the severe penalties involved.
• Understanding Front-Running: A Comprehensive Guide to Prohibited Securities Practices
  Explore the intricacies of front-running in securities trading, its impact on market integrity, and the regulatory framework under FINRA Rule 5270. Learn about the ethical considerations and legal implications to prepare for the Series 6 Exam.
• Churning: Understanding and Preventing Excessive Trading in Client Accounts
  Explore the concept of churning, its identification, and implications in the securities industry. Learn how to recognize excessive trading and understand the regulatory frameworks that protect investors.