Anti-Manipulation Rules Concerning Securities Offerings webinar
When

August 06, 2015 @ 1:00 pm - 2:30 pm America/New_York
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Organizer

Compliance Online - Craig Taggart

Host

- Craig Taggart

Co-Host

Craig

The concept or act of securities fraud manipulation, and/or deception has been around for decades in the United States. This course will discuss key points to prevent such fraud. In 2010 the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) proposed defining new rules for the securities industry. These new rules were under the anti-manipulation and anti-fraud provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These provisions were put in place as a reaction to the trading activity that occurred in mortgage backed securities and credit default swaps for several years that caused the credit crisis in 2008 and great recession.
This webinar will review these new rules and laws and how they are and will affect securities offerings in the foreseeable future.

Why attend this webinar:

1. Examine key information about the characteristics of securities, securities markets, and securities fraud

2. Identify the different types of securities fraud schemes that financial advisors or employees commit against financial organizations

3. Recognize the ways investors commit securities fraud schemes against financial organizations

More information about the speakers:

- Craig Taggart - Consultant

Craig Taggart has almost a decade of experience in the fields of mergers and acquisitions and business financing. Mr. Taggart works strategically with his clients to achieve the highest value for their business within the capital markets

Craig - Consultant

Craig Taggart has almost a decade of experience in the fields of mergers and acquisitions and business financing. Mr. Taggart works strategically with his clients to achieve the highest value for their business within the capital markets

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