Illegal insider trading is harmful to the marketplace and can seriously undermine investor confidence. This course will explore the laws that govern the trading of stocks and other securities by corporate insiders and describe the role the Securities and Exchange Commission plays in enforcement. It will also discuss the civil and criminal penalties for insider trading and the procedures for reporting illegal behavior.
This course was developed with subject matter support provided by Baker, Donelson, Bearman, Caldwell & Berkowitz, PC. Please note, however, that the course materials and content are for informational purposes only and do not constitute legal advice and may or may not reflect the most current legal developments. Nothing herein, or in the course materials, shall be construed as professional advice as to any particular situation or constitute a legal opinion with respect to compliance with statutes, regulations, or other legal authority. Transmission of the information is not intended to create, and receipt does not constitute, an attorney-client relationship. Readers should not act upon this information without seeking independent legal advice.
Insider Trading