Course Overview
This course provides an overview of prohibited practices that may disrupt the integrity of the markets. It is designed to help market participants identify and avoid actions that could violate exchange or federal regulations, resulting in regulatory sanctions and fines and civil penalties.
Course duration: 40 minutes
Course Pricing
Key Takeaways
This course is designed to help learners:
- Identify and avoid behaviors that may be considered abusive, manipulative, or otherwise improper in the marketplace.
- Respect and protect confidential information
- Understand and adhere to exchange rules.
- Understand supervisory responsibilities
- Meet regulatory requirements for direct market access participants.
- Appreciate the regulatory landscape.
Course Details
This course raises awareness of the fundamental ethical, legal and regulatory responsibilities of anyone accessing the markets in order to help protect market participants from the consequences of noncompliance. It covers:
- Wash trades
- Spoofing
- Front running
- Corners and squeezes
- Marking or banging the close
- Misleading statements and rumors
- Insider trading
- Interactive exercises to test comprehension
Who Should Take this Course?
- Traders – including those who handle customer orders, work on execution desks, or operate proprietary trading desks
- Software developers – involved in designing or maintaining trading systems
- Compliance professionals – responsible for monitoring trading activity
- Senior management – overseeing execution practices and trading operations
- Clients – who access the market directly through trading platforms
To complete the course, learners must pass the final assessment with a score of 80% or higher. Upon successful completion, a training certificate will be available for download.
Course Pricing
