We will begin by establishing foundational knowledge of insider trading, including key definitions and historical context. We will also progress through the evolution of insider trading liability, exploring landmark cases and legal theories that have shaped current regulations.
Finally, we will focus on practical applications, detailing how financial service firms implement measures to prevent insider trading. Throughout the course, real-world case studies are used to illustrate concepts and reinforce learning.
What You’ll 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
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.