SIE - Securities Industry Essentials Exam
When a security's price is manipulated by trading back and forth to artificially raise or lower the security's price.A
When trading activity is illusory; in order to mislead investors into believing that large amounts of trading is occurring in a security.B
When a registered rep trades a customer's account excessively for purposes of generating commissions.C
When a registered rep executes a trade for himself , his firm or a discretionary account, ahead of a block trade being executed and reported.D
Frontrunning is a violation and when a rep executes a trade ahead of a large block trade occurring; with knowledge of the upcoming large block trade.