UsefulLinks
Business and Management
Finance and Accounting
Investments
Stock Trading
1. Introduction to Stock Trading
2. Market Structure and Participants
3. Fundamental Analysis
4. Technical Analysis
5. Trading Strategies and Styles
6. Order Types and Execution
7. Risk and Money Management
8. Trading Psychology
9. Advanced Trading Concepts
10. Market Analysis and Research
11. Regulatory Environment and Compliance
12. Tax Implications and Accounting
11.
Regulatory Environment and Compliance
11.1.
Regulatory Framework
11.1.1.
Securities and Exchange Commission (SEC)
11.1.1.1.
Registration Requirements
11.1.1.2.
Disclosure Rules
11.1.1.3.
Enforcement Actions
11.1.2.
Financial Industry Regulatory Authority (FINRA)
11.1.2.1.
Broker-Dealer Regulation
11.1.2.2.
Trading Rules
11.1.2.3.
Investor Protection
11.1.3.
Commodity Futures Trading Commission (CFTC)
11.1.3.1.
Derivatives Oversight
11.1.3.2.
Market Surveillance
11.1.4.
State Regulators
11.1.4.1.
Blue Sky Laws
11.1.4.2.
Registration Requirements
11.2.
Trading Regulations
11.2.1.
Market Manipulation Rules
11.2.1.1.
Pump and Dump Schemes
11.2.1.2.
Wash Sales
11.2.1.3.
Spoofing and Layering
11.2.2.
Insider Trading Laws
11.2.2.1.
Material Information
11.2.2.2.
Trading Restrictions
11.2.2.3.
Penalties and Enforcement
11.2.3.
Pattern Day Trader Rules
11.2.3.1.
Definition and Requirements
11.2.3.2.
Minimum Equity Requirements
11.2.3.3.
Trading Restrictions
11.2.4.
Short Sale Regulations
11.2.4.1.
Locate Requirements
11.2.4.2.
Marking Requirements
11.2.4.3.
Reporting Obligations
11.3.
Compliance Requirements
11.3.1.
Record Keeping
11.3.1.1.
Trade Records
11.3.1.2.
Communication Records
11.3.1.3.
Financial Records
11.3.2.
Reporting Obligations
11.3.2.1.
Large Position Reporting
11.3.2.2.
Suspicious Activity Reports
11.3.2.3.
Regulatory Filings
11.3.3.
Best Execution
11.3.3.1.
Execution Quality
11.3.3.2.
Order Routing Disclosure
11.3.3.3.
Regular Review
11.4.
Ethical Considerations
11.4.1.
Fiduciary Responsibility
11.4.1.1.
Client Interest Priority
11.4.1.2.
Conflict Avoidance
11.4.1.3.
Fair Dealing
11.4.2.
Professional Standards
11.4.2.1.
Competence Requirements
11.4.2.2.
Integrity Standards
11.4.2.3.
Confidentiality
11.4.3.
Market Integrity
11.4.3.1.
Fair and Orderly Markets
11.4.3.2.
Price Discovery
11.4.3.3.
Investor Confidence
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10. Market Analysis and Research
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12. Tax Implications and Accounting