At the conclusion of this course, you will be able to:
- 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
- Summarize the SEC's financial disclosure guidelines
- Describe SEC blackout events
- Describe the information trading plans should include
- List the five categories of people considered “insiders”
- Apply the rules of compliance as outlined by the SEC
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