What Will You Learn? 

  • Rules that underly the IRs role 
  • Frauds, scams and cybersecurity 
  • Trading violations and insider trading 
  • The gatekeeper role and protecting market integrity 
  • Updated rules and guidance 

How Will You Learn? 

CSI’s online learning system helps you meet your study goals. You’ll benefit from: 

  • Textbook readings available in PDF format 
  • Learning objectives that keep you focused 
  • Online assistance from CSI’s academic support specialists 

What is the course syllabus?

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Lesson 1: It’s a Rules-Based Industry

Topics covered in this chapter are:

  • Financial Services: A Rules-Based Industry
  • Guidelines for Doing What’s Right
  • The Integrity of the Investment Representative
  • Permissible Orders

Lesson 2: Challenges to Market Integrity – Frauds and Scams

Topics covered in this chapter are:

  • Frauds and Scams
  • Cybersecurity – Fraud in the 21st Century

Lesson 3: Challenges to Market Integrity - Trading Violations and Insider Trading

Topics covered in this chapter are:

  • The Different Types of Trading Violations
  • Insider Trading

Lesson 4: Protecting Market Integrity

Topics covered in this chapter are:

  • An Overview of the Gatekeeper Role
  • Best Trading Practices

Lesson 5: Updated Rules and Guidance

Topics covered in this chapter are:

  • Circuit Breakers and Marketplace Thresholds
  • Market On Close Facilities
  • Dark Orders