Stock Trading

  1. Regulatory Environment and Compliance
    1. Regulatory Framework
      1. Securities and Exchange Commission (SEC)
        1. Registration Requirements
          1. Disclosure Rules
            1. Enforcement Actions
            2. Financial Industry Regulatory Authority (FINRA)
              1. Broker-Dealer Regulation
                1. Trading Rules
                  1. Investor Protection
                  2. Commodity Futures Trading Commission (CFTC)
                    1. Derivatives Oversight
                      1. Market Surveillance
                      2. State Regulators
                        1. Blue Sky Laws
                          1. Registration Requirements
                        2. Trading Regulations
                          1. Market Manipulation Rules
                            1. Pump and Dump Schemes
                              1. Wash Sales
                                1. Spoofing and Layering
                                2. Insider Trading Laws
                                  1. Material Information
                                    1. Trading Restrictions
                                      1. Penalties and Enforcement
                                      2. Pattern Day Trader Rules
                                        1. Definition and Requirements
                                          1. Minimum Equity Requirements
                                            1. Trading Restrictions
                                            2. Short Sale Regulations
                                              1. Locate Requirements
                                                1. Marking Requirements
                                                  1. Reporting Obligations
                                                2. Compliance Requirements
                                                  1. Record Keeping
                                                    1. Trade Records
                                                      1. Communication Records
                                                        1. Financial Records
                                                        2. Reporting Obligations
                                                          1. Large Position Reporting
                                                            1. Suspicious Activity Reports
                                                              1. Regulatory Filings
                                                              2. Best Execution
                                                                1. Execution Quality
                                                                  1. Order Routing Disclosure
                                                                    1. Regular Review
                                                                  2. Ethical Considerations
                                                                    1. Fiduciary Responsibility
                                                                      1. Client Interest Priority
                                                                        1. Conflict Avoidance
                                                                          1. Fair Dealing
                                                                          2. Professional Standards
                                                                            1. Competence Requirements
                                                                              1. Integrity Standards
                                                                                1. Confidentiality
                                                                                2. Market Integrity
                                                                                  1. Fair and Orderly Markets
                                                                                    1. Price Discovery
                                                                                      1. Investor Confidence

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                                                                                  10. Market Analysis and Research

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                                                                                  12. Tax Implications and Accounting