Trading, Customer Accounts & Prohibited Activities

23 of the 75 scored questions on how trades and accounts actually work: order types and trade capacity, settlement, cash and margin accounts, account registrations and retirement accounts, the prohibited activities FINRA polices hardest, and the compliance rules — AML, SIPC, Regulation BI — that protect customers.

Study sets

Compliance & Account Protection Hard

Find the customer-protection layer: Regulation Best Interest, AML and its three stages, SARs and CTRs, SIPC coverage, Regulation S-P privacy, do-not-call rules, and complaint handling.

7 terms
Customer Accounts Medium

Track down the account types and rules: cash vs. margin, Regulation T, traditional and Roth IRAs, joint registrations, custodial accounts, discretionary authority, and CIP.

7 terms
Prohibited Activities Medium

Hunt down the conduct FINRA polices hardest: insider trading, market manipulation, front running, churning, unauthorized trading, freeriding, and guarantees against loss.

7 terms
Trading & Order Types Medium

Find the mechanics of the trade: bid and ask, market, limit and stop orders, short selling, principal vs. agency capacity, best execution, and circuit breakers.

7 terms

Terms glossary