Firm Element Preventing Insider Trading (Comprehensive Course)

Preventing Insider Trading (Comprehensive Course)

50.00 50.00

  • Course Delivery: On Demand
  • Duration: 1

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This course introduces the concept of insider trading. You will learn what constitutes insider trading and who is characterized as an 'insider.' This course will also shed light on the many negative effects of insider trading and how best a company can prevent this type of activity. This course also introduces the SEC's laws for compliance in relation to insider trading. You will also learn about insider trading plans and the types of information they should include.

Course Objectives

At the conclusion of this course, you will be able to:
- Define “insider trading.”- Identify who is considered an “insider.”
- Summarize Federal Trading Laws.
- Describe the two theories associated with insiders.
- List the six groups who should concern themselves the most with insider trading.
- Identify “material information.”- Define “non-public information.”
- Describe the role of the SEC and the importance of the Securities and Exchange Act.
- Describe how the Sarbanes-Oxley Act stiffened penalties for those found guilty of insider trading.


Topics Covered

10-13T11:52:37 -->This course focuses on the following topics:
- Insider Trading
- Federal Trading Laws
- Material Information and Non-Public Information
- Laws, Compliance, and Penalties
- SEC Financial Disclosure Guidelines
- Safe Trading Regulations
- Trading Plans
- Compliance
- Penalties

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