Welcome to the “SEC Guidelines for Publicly Traded Companies” lesson that teaches employees at all levels of an organization how to remain compliant with the Securities and Exchange Commission (SEC) regulations for publicly traded companies. After this video, learners will understand what they can’t share with others, or in other words, what constitutes material information or a forward-looking statement. Viewers will then receive nine easy tips so they can always be compliant with SEC guidelines and not participate in illegal insider trading.
Overview
COURSE DIFFICULTY
COURSE DURATION
7m
Skills Learned
After completing this online training course, students will be able to:
Identify what constitutes material information under SEC regulations
Recognize forward-looking statements and their implications
Apply nine easy tips for remaining compliant with SEC guidelines
Understand the consequences of illegal insider trading
Communicate effectively about public company information
Employees at all levels of an organization, Compliance Officers, Financial Analysts, Legal Professionals
None
01. Introduction to SEC Regulations
02. Understanding Material Information
03. Recognizing Forward-Looking Statements
04. Compliance Tips for Employees
05. Implications of Insider Trading
SKILLS LEARNED
Skills Learned
After completing this online training course, students will be able to:
Identify what constitutes material information under SEC regulations
Recognize forward-looking statements and their implications
Apply nine easy tips for remaining compliant with SEC guidelines
Understand the consequences of illegal insider trading
Communicate effectively about public company information
WHO SHOULD ATTEND
Employees at all levels of an organization, Compliance Officers, Financial Analysts, Legal Professionals
PREREQUISITES
None
COURSE OUTLINE
01. Introduction to SEC Regulations
02. Understanding Material Information
03. Recognizing Forward-Looking Statements
04. Compliance Tips for Employees
05. Implications of Insider Trading
