Learn to recognize misconduct patterns, record what you saw without asserting what it means, and route it correctly - the conduct judgment every securities role is expected to have from day one.

You'll identify insider trading, front running, and pump-and-dump scenarios in short case vignettes and label the specific infraction, working from structure rather than vocabulary: who acted, what they knew, in what order, with what intended effect, and who was harmed. You'll then explain the escalation steps a suspected prohibited activity requires, working from a supplied firm flowchart - preserving facts, avoiding tipping off, and identifying the actions you are not authorised to take. Finally, you'll review sample social media posts and separate compliant communications from misleading public statements against substantiation, risk balance, audience, approval, and recordkeeping. Firm procedures shown in this course are illustrative examples, not regulatory requirements, and no item asks you to reach a legal conclusion. Passing the SIE is not a license or a securities registration. By the end of this course, you will be able to: - Identify insider trading, front-running, and pump-and-dump scenarios in short case vignettes and label the specific infraction - Explain the immediate escalation steps required when a suspected prohibited activity is observed, according to firm policy flowcharts - Review sample social-media posts and differentiate compliant communications from misleading public statements No prior securities experience required. The course assumes comfort reading straightforward business documents and doing basic arithmetic; no finance coursework, license, or firm sponsorship is needed. The FINRA Securities Industry Essentials exam is open to anyone aged 18 or over without firm sponsorship.