Preventing Insider Trading: Introduction to Insider Trading (Compliance Snapshot)

360training.com
Training overview
Professional Course
E-learning
1 hour
From 30 USD
Start dates
Online
30 USD
Start anytime!

Course description

This course will address the regulation of outside business activities in the securities industry and the supervision within the industry of those engaged in outside business activity. The course is divided into two lessons:Lesson 1 - Regulation: FINRA Rule 327Go to the course homepage to get information about this course directly from 360training and NASD Rule 3Go to the course homepage to get information about this course directly from 360training4Go to the course homepage to get information about this course directly from 360trainingLesson 2 - Supervision and Enforcement

Want to find out more?

Who should attend?

This course will address the regulation of outside business activities in the securities industry and the supervision within the industry of those engaged in outside business activity. The course is divided into two lessons:Lesson 1 - Regulation: FINRA Rule 327 and NASD Rule 34Lesson 2 - Supervision and Enforcement

Training content

After completing this course, you should be able to:
- Discuss the concept of outside business activity and the need for its regulation,
- Define and distinguish between "outside business activity" and a "private securities transaction,"
- Describe the basic provisions of FINRA Rule 3270,
- Describe the basic provisions of NASD Rule 3040,

Costs

Go the course homepage for full details on price

Why choose 360training.com?

4 million learners served worldwide

6,000+ courses to choose from

Courses cover more than 15 industries

About 360training.com

360training.com - Online courses for you

360training.com | Creating Learners for Life

360training.com (Austin, TX) works with 1500 e-learning partners who together have trained more than 3 million users worldwide. Their integrated strategy of technology, content and service helps organizations and professionals in a wide range of industries manage career, compliance, and...


Read more and show all training delivered by this supplier

Request info

Before we redirect you to this supplier's website, do you mind filling out this form so that we can stay in touch? You can unsubscribe at any time.

Contact info

Learn more!

Before we redirect you to this supplier's website, do you mind filling out this form so that we can stay in touch? You can unsubscribe at any time.

View again
Supplier Directory
Join our Supplier Directory to:
- Gain Traffic
- Get Noticed
- Showcase Your Services
- Free Listing Available