Regulation FD

This Regulation FD online training course explores how all employees in company can ensure that they comply with the Fair Disclosure regulation set out by the SEC. Many a times, companies or their employees divulge nonpublic, material information, even inadvertently, which results in an impact on the investor relations of the company. It is closely related to “tipping” of insider information and violates the rules of fair disclosure to all investors at the same time. Learning about who Regulation FD applies to, how it applies, and what happens if it is violated, will enable you to plan your marketing and communication strategy effectively.

This course is also beneficial to investor relations employees, who will need to understand the enforcement parameters of this regulation. This department is responsible for enforcing Regulation FD in your organization. They should be kept in the loop when your organization is planning to make a public disclosure.

Course Learning Objectives:

On completion of this Regulation FD course, the user will learn:

• Describe the purpose of Regulation FD
• Identify who is affected by Regulation FD
• Define material information
• List the different types of disclosure methods
• Identify methods that do not meet the standards set by Regulation FD
• Describe the penalties for Fair Disclosure violations

Course Outline:

1. Application and Disclosures
2. Communications
3. Violations and Enforcement

Course Audience:

This Regulation FD online training course was designed for all bank employees, especially investor relations employees.

If you have any concerns as to whether this course is appropriate for you or your industry, please browse our full selection of online courses.