Security Exchange Compliance
This course explains the concept of Affirmative defence in the Rule 10b5-1, its advantages and steps involved in establishing a trading plan. It deals with the restrictions and red flags indicators associated with the trading plan. The course is designed as an interactive game that entertains and instructs you on the nuances of an esoteric subject, Rule 10b5-1 Trading Plans. This game has three rounds of engagement, of which each round has a set of multiple choice questions with three options.
Course Duration: Approximately 45 minutes.
Learning Outcomes:
By the end of the game, you will be able to define and understand:
- The Rule 10b5-1 Trading Plans
- Advantages
- Steps in Establishing a Trading Plan
- Hazards of Violating the Rule
On completion of the course you will be able to deal with the restrictions and red flag indicators associated with the trading plan.
Pre-requisites:
- No previous knowledge about the concept is required.
