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.
Examine key information about the characteristics of securities, securities markets, and securities fraud
Identify the different types of securities fraud schemes that financial advisors or employees commit against financial organizations
Recognize the ways investors commit securities fraud schemes against financial organizations
No webinars are available.