FINRA: Detecting Financial Crimes: Insider Trading and Market Manipulation (EL - ELC297)

Overview

This course will cover several fraudulent activities that occur in financial markets. It also explains how to recognize and escalate these activities for reporting. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

  • Ponzi Schemes
  • New Account Fraud
  • Forgery and Counterfeiting
  • Types of Market Manipulation
  • Red Flags of Insider Trading and Market Manipulation
  • An RR’s Responsibility to Identify Illicit Activities


Designed For:

Registered Representatives




Course Information

Adding additional credit may change exam requirements.

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