Episode Details

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