This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam exam.
In this episode you will learn:
- What defines information as both "material" and "non-public."
- The broad definition of a corporate insider, including temporary or constructive insiders.
- The legal framework of tipper and tippee liability in an insider trading case.
- The severe civil and criminal penalties mandated by the Insider Trading and Securities Fraud Enforcement Act of 1988.
- How to use the "I.P.A." mnemonic (Insider, Possession, Act) to identify a potential violation.
For more resources visit https://open-exam-prep.com/ and connect on LinkedIn at https://linkedin.com/in/chenran818
![[SIE] 54, Insider Trading](https://artwork.captivate.fm/abe4183a-4dfa-4a03-97da-92d15c5d473d/_bZUi6Yzjq6h3zQu_ZsaQB5Y.jpeg)