Course Information

FINRA e-Learning

FINRA: Information Barriers Protecting MNPI and Preventing Insider Trading (EL-ELC264)

Overview

This course provides foundational training on information barriers and the regulatory obligations firms and associated persons have regarding material non-public information (MNPI). Scenarios focusing specifically on the obligations of research analysts (RAs) and investment banks are included.

Summary Details

Hours

0.5

Price

$18.00

This course is not subject to discount pricing.

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CFP ^{Add Certified Financial Planner CE Credit to Your CourseAdd CFP continuing education credit to your course for only a small additional charge. Once the CFP CE is selected you will then see the approved credit hours and fee. Ordering at the time of purchase will allow you to complete one exam and receive certificates of completion for each of the credits added. Credits will be reported upon completion according to our reporting schedule.}

Learning Objectives

define information barriers and give examples of different types of information barriers
utilize firm written supervisory procedures (WSPs) and resources to comply with your obligations regarding information barriers.
describe regulatory obligations of firms and associated persons relating to MNPI and its safeguarding
explain illegal insider trading and some ways to prevent or detect it

Designed For:

Registered representatives, research analysts, and investment bank representatives

Course Information

Adding additional credit may change exam requirements.

Access Period:	12 months
Prerequisites:	None
Delivery Method:	Self-Study
PDF Download:	Not Available
Provider of Record:	FINRA
Provider Number:	Approved
Approved For:	Firm Element

Exam

Proctor:	No
Passing Grade:	70
Questions:	10

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