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Insider Trading: Understanding and Awareness Training Outline


Insider trading is the buying or selling of securities based upon access to confidential or proprietary information, which is not available to the general public. Insider trading is legal as long as it obeys the rules set up by the SEC, the Securities Act and other legislation. The purpose of these rules is to level the playing ground between insiders and investors.

Illegal insider trading is regulated by the Securities and Exchange Commission (SEC). The SEC has greatly increased its monitoring and enforcement of insider trading regulations over the past decade. It is important that you learn about illegal insider trading and what you can do to stop it.

The goal of this Insider Trading training is to help employers acquaint their staff on the elements of insider trading, avoidance of illegal insider trading, corporate best practices, and what their responsibilities are. As with other HR Classroom trainings, employers can fully document trainee activity. Your organization’s own policy can also be inserted directly into each training.

Course Content Includes:
  • Goal of Insider Trading Regulations
  • What is Insider Trading?
  • Types of Insiders
  • Traditional Insiders: Section 16 requirements
  • Anti-Fraud Provisions of 10(b)-5
  • Misappropriator Liability
  • Insider Trading: Penalties
  • Sarbanes-Oxley Act (SOX)
  • Could I be liable? (Public Information)
  • Could I be liable? (Material Information)
  • Could I be liable? (Fiduciary Relationship)
  • Could I be liable? (Tender Offers)
  • Examples of Insider Trading
  • Insider Trading: Corporate Best Practices
  • Ways You Can Avoid Illegal Insider Trading
  • Quizzes and a final review quiz

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