Insider Trading Compliance Training

Practical training for public companies and organizations with access to material non-public information.

Insider trading risk arises when employees have access to material non-public information and do not fully understand the restrictions surrounding its use or disclosure.

Xcelus designs insider trading training that helps employees recognize what constitutes material non-public information, understand blackout restrictions, and make sound decisions when uncertain.

This course aligns with regulatory expectations while remaining practical and easy to apply in real-world settings.

Who This Training Is Designed For

This course is appropriate for:

• Public companies subject to securities regulations

• Employees with access to financial results or confidential strategic information

• Executives and board members

• Legal, finance, and investor relations teams

• Private companies working with or supporting public companies

Because insider trading risk differs by role and organizational structure, we offer two versions of this course.

Two Course Options Based on Your Risk Profile

Modular design based on audience exposure

The course is modular and can be tailored to the audience. For example, content addressing Rule 10b5-1 trading plans can be included for executives, directors, or employees with pre-clearance responsibilities, and removed for audiences where it is not relevant.

This approach helps ensure that employees receive guidance appropriate to their role without introducing unnecessary complexity.

1. Insider Trading Training for Public Companies

Designed for organizations subject to securities regulations and reporting obligations.

This version focuses on:

• Material non-public information

• Trading windows and blackout periods

• Tipping and indirect disclosure

• Pre-clearance requirements

• Personal and family trading considerations

• Consequences of violations

The course reinforces the importance of internal controls and escalation procedures.

2. Insider Trading Awareness for Non-Public Companies

Designed for private companies, vendors, consultants, or partners that may receive confidential information from public entities.

This version focuses on:

• Recognizing material non-public information

• Restrictions on trading related securities

• Handling confidential financial and strategic data

• Avoiding indirect tipping

• Reporting obligations

This ensures employees understand their responsibilities even if their organization is not publicly traded.

What This Training Covers

Courses are customized to align with your policies and typically include:

• Definitions and real-world examples of material non-public information

• Scenario-based exercises involving earnings, mergers, acquisitions, and strategic transactions

• Guidance on communications and social interactions

• Knowledge checks to reinforce understanding

• Clear reporting and escalation guidance

Training emphasizes judgment and awareness rather than abstract legal language.

What This Training Looks Like

The focus is on practical decision-making and realistic workplace scenarios. The short sample below reflects the tone and structure of our scenario-based insider trading training.

Designed for Clarity and Defensibility

Effective insider trading training should be clear, consistent, and easy to reference.

Our courses support:

• Consistent communication of policy expectations

• Documentation of participation and comprehension

• Alignment with legal and compliance oversight

• Role-based distribution where necessary

Training can be delivered as:

• Stand-alone annual courses

• Executive or board-focused modules

• Reinforcement scenarios

• Short refresher modules tied to reporting cycles

U.S. securities enforcement emphasizes the importance of clear internal controls and employee awareness around material non-public information.

Frequently Asked Questions

Request a Preview or Pricing

If you are reviewing insider trading training for your organization or preparing for reporting cycles, we are happy to provide a short scenario preview or discuss customization options.

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