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