SIE: 9.1.2. Insider Trading

Taken from our SIE Online Guide

9.1.2. Insider Trading

Insider trading occurs when someone trades securities using material, nonpublic information. “Material” in this context means information an investor would find relevant when making an investment decision. Material information has also been described as information that could affect the price of a security. Information that is made public by the issuer, such as a declared dividend, is not considered to be non-public information. It is unlawful for anyone who gains material, nonpublic information and knows it to be confidential to trade on such information. I

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 9.1.2. Insider Trading, you might also be interested in:

Series 26 - Form U5 and Termination of Service

Series 26 - Communications That Do Not Need to Be Filed with FINRA

Series 7 - 10.3.3 Implications of the CAPM

Series 51 - Exercise

Series 63 - Glossary

Series 53 - 2.5.5.8. Automatic Exemptions

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

What an excellent resource! I passed my SIE Exam on my first try and Solomon Exam Prep did an excellent job preparing me for the test. I would highly recommend purchasing the study guide, video lectures, and the exam simulator. The exam simulator is especially helpful. As long as you are scoring consistently in the mid to high seventies on the timed practice exams, you will have no problem with the actual exam. Thank you again to Solomon!

Carter Spearry, Merrill Lynch. Rocky River, OH

I was able to learn, practice, and pass both my SIE and Series 6 Exams ahead of schedule, while running my agency. The information was complete and the practice questions were plentiful! I highly recommend Solomon and will continue to use them in the future!

Shawn Swank, Swank Agency Allstate Insurance, Trinity, FL

Passed the SIE!

Chris McHugh, McHugh Ins Group, Inc., Boca Raton, FL

Super fast response time to emailed questions, clear explanations in the textbook and in the ungraded practice exams, and unlimited practice tests made Solomon a great resource for preparing for my SIE. Passed on first try!

Claire Pywell, R+R Financial Partners. Anchorage, AK

Thank you, Solomon! I passed the SIE and am now working on Series 7. Coming from a background outside of Wealth Management and Finance, I found this material very user friendly. I regularly used the iPhone app as well as the online material, followed the study guide and took A LOT of practice tests. I am grateful for the team at Solomon with a special call out to Madi B and Jeremy S who gave me additional support whenever I needed it. I look forward to the Series 7 content as I was very impressed with the SIE content.

Jeremy Johnson, RBC Wealth Management. Green Bay, WI

Passed SIE today! The tools and layout here was instrumental in my success. On to the S7...

Ronald Adams Northwestern Mutual Milwaukee, WI