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.

Upon successfully completing this course, you should be able to:

• 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