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Adaptive Learning

Insider Trading

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At a glance

Course Types
Adaptive Learning
Compliance Training
SEC - Insider Trading
All Learners
Insider Trading
Adaptive Learning

NAVEX’s Insider Trading course provides learners with a strong foundational knowledge of insider trading, including key definitions, as well as information about how to identify risks and prevent even unintentional violations. But it goes beyond just telling learners to avoid it; it also explores how to prevent it before it happens by asking for guidance in critical situations and reporting suspected or actual violations, without fear of retaliation. Organizations committed to doing business ethically and fairly need employees who do the same, especially when it comes to insider trading. Effective training can help organizations keep this commitment.

Course Details

All Learners

Key concepts covered in this course:

  • An explanation of what insider trading is and what it looks like
  • A closer look at what it means for information to be material and non-public
  • Examples of inside information
  • Times that you can and cannot trade
  • Discussion of how insider trading rules apply to every individual, at every level of the organization – and even those who don’t work at the organization
  • A closer look at securities and the prohibition against buying or selling them based on inside information
  • An explanation of tipping and the importance of not engaging in it
  • Best practices for protecting inside information
  • What blackout periods are and who they apply to
  • The importance of reporting suspected violations of insider trading policy or law
  • The policy prohibiting retaliation for making reports
  • When to seek guidance or ask for help
  • What Regulation FD is – and why it exists
  • When Regulation FD applies, for people both inside and outside the organization
  • How to comply with Regulation FD
  • A reminder of an employee’s role in complying with the insider trading laws and policies
  • An opportunity to review key policies and certify