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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S1-31 - Framework