Buying and selling stocks is no longer the sole domain of wealthy investors and large institutions. In fact, investing in securities has become an important factor in the financial lives of millions of people across many income levels. Frequent news reports of overnight billionaires in the stock market can tempt people to try to cash in on inside information they learn at work before the news is known to the general public. But buying or selling stock based on a simple 'tip' or tidbit of information can, under certain circumstances, violate federal law and lead to severe fines and even prison sentences.
As a result, it is essential that businesses provide their employees with a basic understanding of the laws against insider trading and what they need to do-and not do -- to abide by them. Using easy to understand examples, this Course provides an overview of the law, shows how it applies in the workplace, and explains the civil and criminal penalties that can result if an employee violates the law.
This Course explains the law in simple, understandable terms and gives examples of scenarios that can easily at occur in a workplace and land the individuals involved, their supervisors, friends and family, and even the company itself in world of trouble.
A company that already has an insider-trading policy in place can use this Course to quickly and effectively communicate that policy online. For a company that has not yet implemented a policy on insider trading, this Course provides a turn-key solution that can be put in place instantly.
The topics covered in the Course include:
• Summary of the laws prohibiting insider trading • Civil and criminal penalties for those who violate the law • Material information • Non-public information • Potential liability of employees, their families, friends and business associates
|Length Range||31 - 60 Minutes|
|Course Features||Audio, NASBA CPE - QAS Self Study|
|NASBA CPE Credits||1.5|