FC130 Targeting Investment Fraud  (1 Day)


Lincoln, NE
Tue 10/22/2019
Nebraska Department of Revenue

301 Centennial Mall S
Nebraska State Office Building
Lower Level - Room A
Lincoln, NE 68509

Course description
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 Foundation.

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 experts.

All classes are subject to cancellation up to 45 days before the start of class if the minimum class registration threshold is not met.

Class Fee: $0
23 seats available
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