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.

Find this course for your license

License or Certification

Regulator

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.

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