Series 7 Exam Prep 70, Insider Trading and Market Manipulation

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - Material nonpublic information is information a reasonable investor would find important that has not been publicly disseminated. - Both the 'tipper' who shares inside information and the 'tippee' who trades on it can be held liable for insider trading. - Broker-dealers must establish Chinese Walls and restricted lists to prevent the misuse of inside information. - Market manipulation tactics include painting the tape, marking the close, and pump and dump schemes. - Penalties for insider trading are severe, including treble damages, millions in fines, and up to 20 years in prison. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep