FINRA: Business Conduct—Institutional: Understanding Information Barriers

Overview

This course is designed to help securities industry professionals understand information barriers and the regulatory obligations regarding confidentiality, privacy and conflicts of interest as they relate to material, nonpublic information. It explores related topics such as wall-crossing procedures, restricted and watch lists, physical and electronic separation, and insider trading as it relates to information barriers. Scenarios address information barriers with respect to research and investment banking.

Learning Objectives

Upon completion of this course, students will be able to understand:

  • what information barriers are
  • your—and your firm's—obligations regarding confidentiality, privacy and conflicts of interest as they relate to material, non-public information and information barriers
  • how information barriers work by exploring situations involving investment banking representatives and research analysts

Designed For

Registered Representatives working with institutional clients 
Find Courses Now