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.
At the conclusion of this course, you should 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.
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
Subject Matter Expert
This course is created and brought to you by 360training, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. 360training's high-quality e-learning courses assist thousands of working professionals in a wide range of disciplines, helping them to succeed in today's marketplace, to renew licenses, to acquire certification or to prepare for a new profession.
End of Course Instructions
Upon successful completion of the course, you will be able to print a certificate of completion from your training page.
The final exam must be passed successfully with 70% or higher in order to receive your certificate of completion.
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