Prohibited Activities

In this section

• Insider Trading
  Review insider trading rules and the misuse of material nonpublic information.
• Market Manipulation
  Study manipulative practices and how markets guard against manipulation.
• Fraudulent Activities
  Understand common forms of securities fraud and related compliance issues.
• Unauthorized Transactions
  Review unauthorized trading and the controls designed to prevent it.
• Selling Away and Outside Business Activities
  Learn the rules on selling away and outside business activities.
• Churning and Excessive Trading
  Understand churning, excessive trading, and related suitability concerns.
• Borrowing From or Lending to Customers
  Review the restrictions on borrowing from or lending to customers.
• Sharing in Customer Accounts and Guarantees
  Study the limits on sharing in accounts and guaranteeing customer outcomes.