Course Preview

At a Glance

Course length: 
31-60
Course type:
Full Length Course
Category: 
Compliance Training
Regulations: 
SEC - Insider Trading
Audience: 
All Learners
Topic: 
Insider Trading
Format: 
Vector Animation

Insider trading undermines investor confidence and erodes the integrity of the investment system. Enforcing insider trading laws has become a top priority for the federal government. This course reveals the serious nature of insider trading – including applicable laws and penalties – and emphasizes that anyone at any level of your organization can engage in insider trading, sometimes without even realizing it. It also offers best-practice advice that your employees can follow to reduce the risk to your organization and trade legally and ethically.

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Course Details

  • All Learners
All Learners

Key concepts covered in this course:

  • What is insider trading
  • Types of insider trading, including tipping and misappropriation
  • The consequences of insider trading
  • Understanding liabilities
  • Tips for avoiding insider trading
  • Examples of common warning signs
  • Responsibility of senior management
  • Tips for protecting non-public information

Reinforce this topic with these two micro learning courses

Get two FREE micro learning courses with the purchase of this full length course. NAVEX Global suggests these courses that pair well:

Insider Trading (MyReport)

Helps learners understand the fundamentals of insider trading including what constitutes insider trading and material, non-public information. Outlines rules against improperly sharing information and the obligation to protect confidential information related to clients and business partners, the application of rules to (401)k and retirement accounts, the purpose of blackout dates and the consequences of violating insider trading rules.

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Insider Trading: "The Tip"

Trading on non-public, material (“inside”) information is against the law, but what about tipping off someone else so they can trade? Listen in on a conversation between two co-workers and learn about the importance of keeping confidential information confidential.

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