Insider Trading: Detection and Prevention
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Other Registration Options & Cancellation Policy
Tentative 2010 Course Agenda (PDF 40 KB)
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This course qualifies for FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) credit for candidates who have taken courses prior to January 2007. Participants taking the course who are not CRCP Program candidates prior to January 2007 are not required to take the assessment exercise and will not earn CRCP credit.
Course Description
This course covers the detection and prevention of insider trading, and addresses both the ethical and legal aspects of this important issue. Coursework focuses on cases of insider trading, as well as practical, effective deterrence methods. Participants study detection reports and discuss practices for using information barriers to prevent insider trading.
After completing this course, you will be able to:
- Recognize and define insider trading under its various legal definitions, and identify suspicious activities in fact patterns and hypotheticals
- Distinguish among the types of insider trading: short-swing profits, traditional theory, tipping, temporary insiders, tender offer and misappropriation theory
- Link acts of insider trading to the legal consequences from various regulators and private party litigation
- Conduct internal investigations that might precede a criminal prosecution, civil enforcement, private party litigation, or regulatory disciplinary action involving aspects of insider trading
- Understand the internal control structures and information barriers required for multi-service financial services firms
- Assist in the design, maintenance and refinement of supervisory procedures to prevent and detect insider trading
- Link the rationale underlying Regulation FD on selective disclosure to particular internal control procedures
- Explain SEC Rule 10b5 and its components –10b5-1 Trading Plan controls and relationships under 10b5-2 to customers, supervisors and brokers
- Respond effectively to regulatory requests and derive guidance from insider trading enforcement actions
Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.
