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Financial Misconduct and Insider Trading

Exam Questions: 20
Course Level: Basic
Pages: 70 | Content: 66, Supplemental: 4
NASBA Area of Study: Auditing
Not Acceptable for: Enrolled Agents
Version: 7910

This course will address financial misconduct and the penalties associated with it, plus a review of insider trading and market manipulation. The course uses British terminology, therefore some of the spelling/terminology reflects that dialect. PLEASE NOTE: Course material is similar to #7890: Corruption and Fraud in Financial Markets; therefore, we recommend that you should not take both courses in the same CPE reporting period. Not accepted for Enrolled Agents. All course material provided. No prerequisites. Course level: Basic.

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Course Information

Table of Contents
  • Financial Misconduct and Market-Based Penalties
  • Insider Trading and Market Manipulation
Objectives
  • To identify the various financial regulations used in the U.S. to combat corporate misconduct
  • To recall the consequences of strict enforcement of laws aimed at preventing financial market abuse

PLEASE NOTE: CPE credit measurement is based on NASBA Registry and QAS guidelines of one credit for every 50 minutes. Credit calculation may vary in different states — check with your State Board of Accountancy. Unless otherwise noted in the specific course description, no advanced preparation is required in order to register or complete any PES CPE course. Use of materials or services provided by Professional Education Services, LP ("PES") are governed by the Terms and Conditions stated on PES' website www.mypescpe.com. PES provides these courses with the understanding that it is not providing any accounting, legal, or other professional advice and assumes no liability whatsoever in connection with its use. PES has used diligent efforts to provide quality information and material to its customers, but does not warrant or guarantee the accuracy, timeliness, completeness, or currency of the information contained herein. Ultimately, the responsibility to comply with applicable legal requirements falls solely upon the individual licensee, not PES. PES encourages you to contact your state Board for the latest information and to confirm or clarify any questions or concerns you have regarding your duties or obligations as a licensed professional.