Overview
This course explains insider trading and the consequences of the intentional or inadvertent misuse of material, nonpublic information. Scenarios illustrate typical situations and emphasize the importance of maintaining confidentiality when in possession of material, nonpublic information.
Learning Objectives
- define insider trading and provide examples of material, non-public information
- increase your awareness of the rules and regulations applicable to insider trading
- detect and report suspicious activity that could be indicative of insider trading
- protect yourself and your firm from being involved in insider trading
Designed For
Registered representatives and registered principals
Find this course for your license:
License or Certification
Regulator
Type