Series 7 Exam Prep 69, Prohibited Activities and Sales Practice Violations
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: - Churning involves excessive trading to generate commissions, requiring proof of broker control and excessive activity. - Unauthorized trading is executing trades in non-discretionary accounts without client approval. - Front-running is trading for personal gain…
The skinny
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