An Inside Look at Insider Trading

Overview

This course will provide a thorough orientation to the concepts of and best practices in preventing insider trading. The course will focus on firms’ and representatives’ legal and regulatory obligations to avoid and prevent insider trading, and the barriers that are among the most common preventative measures firms take. It will look at the history, development, and operation of insider trading and the various regulatory barriers established to aid in its prevention.

Find this course for your license

License or Certification

Regulator

Learning Objectives

solid familiarity with and understanding of what constitutes insider trading
solid understanding of who is an insider
solid understanding of when and how nonpublic information becomes public
solid understanding of the meaning of materiality in this context
thorough grounding in the law and regulations relating to insider trading
solid understanding of the use of barriers in the prevention of insider trading
solid understanding of the potential civil and criminal consequences of insider trading

Designed For:

Registered Representatives

Course Information

Adding additional credit may change exam requirements.

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