Series 65: Market Manipulation

Taken from our Series 65 Online Guide

Market Manipulation

This doesn’t mean that professionals or their clients need to be overly concerned about accidentally manipulating the market through their transactions or casual discussions. It just means that they need to avoid all attempts of doing these in the hope of affecting the price of a security. Regulators want the markets to operate freely, based on honest supply and demand. The moment that gets interfered with and someone introduces artificial forces to affect prices, regulators have a problem.

Five particular situations described in the Investment Advisers Act of 1940 are:

• Matched trades are when traders manipulate market prices through unnecessary trading among agents. This is a violation. In this kind of manipulation, agents and/or broker-dealers agre

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