WHO SHOULD ATTEND? 

This course provides essential knowledge for anyone working in the securities industry or seeking to understand the complexities of insider trading regulations and their practical implications, including financial professionals, compliance officers, and those interested in securities law.

WHAT YOU WILL LEARN 

• Define insiders, material non-public information, and explain SEC reporting requirements for insiders

• Trace the historical development of insider trading liability, including key legal principles and cases

• Identify various forms of insider trading, including tipping and misappropriation

• Understand the structure and purpose of 10b5-1 plans for avoiding insider trading liability

• Describe the preventative measures and compliance procedures used by broker-dealers and investment advisers to combat insider trading