The Securities and Exchange Commission regularly brings enforcement actions against businesses and individuals who engage in illegal practices, including levying substantial fines, criminal convictions and even prison time. In Securities Law: Know Your Trade, users face a set of realistic characters and scenarios from all walks of life, some of whom may be trying to engage in illegal practices. It is up to users to assess the risk of each situation and decide on the best course of action based on company procedures and the law.
Each of the three modules in the course presents scenario-based questions, allowing users to instantly review the knowledge they have learnt.
The three modules are: