Insider Trading: Guidelines for Compliance & Case Studies

Audience: Recommended for those who desire company associates to have detailed information on what constitutes legal versus illegal insider trading activity
Length: 2 hours
Materials: Each participant will receive a 20-plus page workbook, which reviews each topic covered and provides resources and a glossary for future use

 

Course Description:

Participants who attend this course will gain knowledge and insight to help guide them in the actions they take with trading company stock.

Course Objectives:

  • Determine why a company has an insider trading policy.
  • Identify which associates at a company are insiders.
  • Recognize the difference between insider trading and tipping.
  • Discover the two types of insider trading.
  • Define key legal terms frequently used.
  • Recall the rules and guidelines when buying and selling company stock.
  • Uncover nine types of information that can affect stock prices and are considered material by the SEC.
  • Recite the quarterly trading window restrictions.
  • Review the consequences of violating insider trading laws.
  • Examine recent cases the SEC has investigated and prosecuted.

 

 

 

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