The course focuses on US insider trading regulation: Securities Exchange Act 1934 (Section 10(b), Rule 10b-5), Insider Trading Sanctions Act 1984, Insider Trading and Securities Fraud Enforcement Act 1988, Dodd-Frank Act (whistleblower provisions), SEC enforcement, criminal prosecution (DOJ), compliance programs (10b5-1 trading plans, pre-clearance, blackout periods), landmark cases (SEC v. Texas Gulf Sulphur, Dirks, O'Hagan, Martoma).
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