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Recognizing and Avoiding Insider Trading

Insider trading occurs when someone trades stock while in the possession of inside information. Insider trading takes many forms, and can involve trading our company’s stock, a competitor’s stock, or a vendor’s stock. This course will help you recognize what is and what is not inside information. This course will also help you recognize US laws and our company’s policies regarding insider trading. We’ll start by defining insider trading, and then examine specific insider trading situations that you might encounter in the workplace. If you are an officer or director, Section 16 of the US Securities and Exchange Act sets forth rules for the selling of company stock by officers or directors. Contact the Legal Department for guidance as to when you are able to trade stock. This course does not cover insider trading issues relating to officers and directors of the company.

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Learning Objectives

Recognize what constitutes inside information.

Recognize common insider trading violations.

Course Outline

1. Overview
1. About this course…
2. Definition
1. Inside Information
2. Consequences
3. Recognizing Inside Information
1. Financial Information
2. Personnel Changes
3. Product Plans
4. Marketing Strategies
5. Reporting