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.
Learning Objectives
Upon completion of this course, students will be able to:
- 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
All registered representatives and registered principals
Find this course for your license:
License or Certification
Regulator
Type