Preventing Insider Trading: Laws, Compliance, Penalties (Compliance Snapshot)


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


This course introduces the SEC's laws for compliance in relation to insider trading. In this course you will learn about the SEC's financial disclosure guidelines and what you must do to be in compliance with the SEC's blackout events. You will also learn about insider trading plans and the types of information they should include.


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