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Understanding Insider Trading

This comprehensive course on insider trading offers a deep dive into the complex world of securities regulation and ethical trading practices. This session will provide a thorough understanding of insider trading, its legal implications, and prevention strategies.

Upcoming
Tuesday, January 7th, 2025
10:00 am - 11:30 am
Presented by Todd Rosenfeld
$299.00 or 1 Token

Includes: Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Compliance
  • General Compliance
  • Management/Employee Development
  • Risk Management/Legal
  • Bank Legal Counsel
  • Board Member
  • Branch Manager
  • Compliance Officer
  • Risk Manager
  • Senior Management
  • Training Manager
  • Trainer

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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.

Todd Rosenfeld

Instructor Bio

Todd is Chief Learning Officer at Securities Training Corporation (STC), the market leader in securities training. He manages the company’s instructor staff and its design and development department. He works closely with the firm’s offices and affiliates to ensure quality and consistency in the delivery of STC courses worldwide in both securities licensing and continuing education. Todd also directly oversees the firm’s relationships with many of the major investment banking and brokerage firms.

As a seasoned instructor and executive, Todd regularly presents at industry conferences, including the Association of Registration Management (ARM) and the annual FINRA Conference. Founded on Wall Street in 1969, Securities Training Corporation (STC) has successfully helped millions of professionals pass FINRA regulatory exams, launch their careers and meet continuing education requirements.

Todd joined STC in 1981 as an instructor and was named Director in 1987. He is a member of Securities Industry Financial Markets Association (SIFMA) legal and compliance society. He is a graduate of the State University of New York at Binghamton.

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