This course provides
investigators and prosecutors with the knowledge and tools they need to respond
to the growing problem of investment fraud. Topics include what constitutes a
security, using the Howey Test to determine if a particular offering is a
security, identifying investment fraud schemes, and investigative strategies for
working with victims and perpetrators. The course also covers fraud prevention
strategies, and students are provided with additional resources for both
prevention and investigation.
This course is presented in partnership with the FINRA Investor Education
Securities basics. What is a security?
The Howey Test. Registration of securities.
Securities fraud. State-specific content.
What constitutes securities fraud? Statutes. Penalties.
Investigation. Red flags of fraud.
Investigative techniques. Following the money. Case studies.
Prevention and resources. Typical
victims. Risk factors. The FINRA Foundation. Local