2 July Prohibited Activities Welcome to your Prohibited Activities Which of the following is considered a type of market manipulation? Promissory notes Excessive trading Forward pricing of mutual funds Lack of proper registration None Which FINRA rule prohibits the improper use of customer funds/securities? FINRA Rule 5270 FINRA Rule 5290 FINRA Rule 5320 FINRA Rule 5280 None What are the penalties for insider trading? Criminal penalties only Civil penalties only Both criminal and civil penalties No penalties None Which of the following activities is an example of prohibited conduct related to executing orders? Failing to respond to regulatory requests Influencing stock prices Making political contributions Withholding documents None Time's up