FINRA: Insider Trading

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.

Find this course for your license

License or Certification

Regulator

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

Course Information

Adding additional credit may change exam requirements.

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