Insider Trading Information Barriers

Overview

As a general rule, markets operate on the understanding that all investors are privy to the same information regarding securities. In reality, there is certain nonpublic material information that you will either intentionally or accidentally have access to. Once this happens, you become an insider. As an insider, how you trade on that information—especially if it is at the expense of others—is what you need to be cognizant of and concerned about. This course discusses insider trading and the consequences of misuse of material, nonpublic information.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • Define insider trading
  • Understand the rules surrounding insider trading
  • Understand supervisory requirements to prevent insider trading
  • Understand SEC reporting requirements
  • Define information barriers
  • Describe the consequences of insider trading

Designed For:

Retail and institutional registered representatives 




Course Information

Adding additional credit may change exam requirements.