This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam exam.
In this episode you will learn:
- Understanding the "pump and dump" scheme where false hype is used to inflate a stock's price for a quick profit.
- Identifying "front-running" as the prohibited practice of a broker trading for their own account based on advance knowledge of a large client order.
- Defining "painting the tape" as the illegal act of creating a false appearance of active trading in a security.
- Recognizing specific manipulative tactics like "matched orders" and "marking the close."
- Applying the "People Freak out over Prices" mnemonic to remember the key types of market manipulation.
For more resources visit https://open-exam-prep.com/ and connect on LinkedIn at https://linkedin.com/in/chenran818
![[SIE] 53, Market Manipulation](https://artwork.captivate.fm/abe4183a-4dfa-4a03-97da-92d15c5d473d/_bZUi6Yzjq6h3zQu_ZsaQB5Y.jpeg)