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Prohibited Practices & AML flashcards
30 cards on prohibited practices & aml for the SIE exam. Short answers, one fact per card, and a line under each explaining why. Here is what the prompts look like:
- Trading on material nonpublic information is called ＿＿＿ tradingAnswer inside
- What is excessive trading in an account to generate commissions called?Answer inside
- Doing securities business outside your firm without its approval is called ＿＿＿ awayAnswer inside
- What is it called when a rep trades ahead of a large customer order?Answer inside
- A series of trades meant to create the look of heavy activity is painting the ＿＿＿Answer inside
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