FINRA: Insider Trading: Understanding Your Responsibilities

Overview

This course highlights specific rules and regulations that prohibit insider trading and provides registered representatives with examples of material, nonpublic information. Participants work through scenarios designed to help them identify possible or actual insider trading by their customers and others, and determine what reporting steps to take.

Find this course for your license

License or Certification

Regulator

Objectives

identify examples of material, nonpublic information
describe how and when to report suspicious activity indicative of insider trading
explain the potential consequences of failing to report suspicious activity indicative of insider trading

Designed For:

Registered representatives and registered principals

Course Information

Adding additional credit may change exam requirements.

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