US federalRequired by lawSecurities Exchange Act of 1934 s.10(b)

Insider trading & confidential information

A ready-made course you customise for your organisation, with a live session deck and two surveys. You only add the 7 details that are specific to your organisation.

See the live deckSee the full outline
Try the coursePreview the survey
Length
30 min
Lessons
6 lessons
Frequency
At hire + annually
Last reviewed
8 Oct 2026
Grey areas
What would you do?

Engineer overhears that a key customer is cancelling; spouse wants to sell shares

In the course you choose a path, see what happens and get feedback. This is one of 11 interactive activities.

What's included

Three pieces that work together

Copy once, get everything. Learners prepare on their own, you answer questions live, and the surveys tell you what stuck.

Self-paced course

Short lessons with real workplace scenarios, not walls of text.

  • 6 lessons, about 30 minutes
  • 2 video slots (you add the videos)
  • Scenario, accordion, flashcards, process and quizzes
  • 10-question final check, 80% to pass

Live session deck

An AhaSlides presentation to run after the course, in person or online.

  • 9 slides
  • Quiz, poll, word cloud slides
  • A closing slide for your contacts

Two surveys

Find out what landed, and whether people use it on the job.

  • Post-course feedback, about 2 minutes
  • 30-day check-in
  • Anonymous by default
  • Results feed your next refresher

Learning objectives

At the end of this course, learners can

Each objective and the lesson that covers it.

IDObjectiveSourceWhere it's covered
TO 1.0Achieve ≥ 80% on the final assessment-Whole course
LO 59.1.1Explain why insider trading is illegal and how it's detectedRule 10b-5Lesson 1: Why it matters
LO 59.2.1Decide whether information is material and nonpublicSEC case lawLesson 2: The rules in brief
LO 59.3.1Apply blackout, pre-clearance and tipping rules + your infoCompany policy; Item 408(b)Lesson 3: Decision framework
LO 59.4.1Describe 2023 Rule 10b5-1 plan conditions (cooling-off, certifications, no overlapping plans)Rule 10b5-1(c)Lesson 4: Grey areas
LO 59.5.1Protect confidential information and report leaks + your infoCompany policyLesson 5: Protect information & speak up

Your part: what a template can't do for you

  • Your workplace details: fill in the 7 highlighted fields so the course describes your own policies, contacts and locations.
  • Records: record completion in your own LMS or record system.

Course outline

6 lessons, about 30 minutes

Minutes per lesson are an estimate, shared out by page count.

ContentInteractiveVideoYou customise
1

Why it matters

2 pages

4 min
Before you beginNoteList
The text to a brother-in-lawQuoteYour infoKey factQuizVideo
2

The rules in brief

3 pages

7 min
MNPIAccordion
Tipping & shadow tradingFlashcards
PenaltiesKey factMulti-select quiz
3

Decision framework

2 pages

4 min
Before you tradeProcessYour infoYour info
10b5-1 plans (insider variant)TableQuiz
4

Grey areas

3 pages

7 min
Scenario 1 - the overheard elevatorScenario
Scenario 2 - the supplier's secretScenario
Scenario 3 - the investor relations slipScenarioSorting activity
5

Protect information & speak up

2 pages

4 min
Confidentiality habitsChecklistYour info
ReportYour infoNoteQuiz
6

Final assessment

Assessment

4 min
Final check10 questions80% to passCompletion page

Live deck and surveys

9 slides to run live, two surveys to close the loop

Pink slides are interactive. Both surveys are anonymous; pink questions are written for this course.

TitleTitle + agenda
PollDo you own company stock?
QuizWhich is MNPI?
QuizCan you be liable if your friend trades on your tip?
Content · customiseOur blackout calendar
Word cloudWhere do confidential conversations leak?
QuizCooling-off for officers under a 10b5-1 plan?
Q&AAsk the trainer anything
Closing · customiseWho to contact, and where to find more
Post-course feedback: 11 questions, about 2 min
  1. Overall rating 5 stars
  2. Relevant, realistic, right length, helpful activities agree/disagree grid
  3. What was most useful? multi-select
  4. Confidence before this course, and now 1-5 scale
  5. Which of these is most likely MNPI? multiple choice
  6. Do you know whether you are a designated insider who needs pre-clearance? multiple choice
  7. How confident are you protecting confidential deal or earnings information outside work? 1-5 scale
  8. It's normal here to ask legal before trading - nobody thinks it's a silly question. 1-5 scale
  9. One thing we should change or add open text
  10. Would you recommend this course? NPS
30-day check-in
  1. Have you used what you learned since the course? multiple choice
  2. How confident are you today? Compare with day 1 1-5 scale
  3. Do you know where to find our insider trading policy, blackout calendar and pre-clearance contact? yes / no / not sure
  4. A moment where the training helped, or where you weren't sure open text
  5. Which topics should the next refresher focus on? ranking

Results show whether people use the training on the job, not just whether they finished it.

Make it yours

7 fields to fill in, and you're ready

Everything else is done. These are the details only your organisation knows; each one is highlighted inside the course.

  • Gc or CEO quote{{GC_OR_CEO_QUOTE}}
  • Insider trading policy link{{INSIDER_TRADING_POLICY_LINK}}
  • Blackout windows{{BLACKOUT_WINDOWS}}
  • Preclearance contact{{PRECLEARANCE_CONTACT}}
  • Designated insider list rules{{DESIGNATED_INSIDER_LIST_RULES}}
  • Ethics hotline{{ETHICS_HOTLINE}}
Show all 7 fields
  • LMS or record system{{LMS_OR_RECORD_SYSTEM}}

FAQ

Common questions

Can I run insider trading & confidential information training online?

The course itself is self-paced and online, and the live deck lets you add a live session. Whether online delivery meets your local rules depends on the law that applies to you, so check Securities Exchange Act of 1934 s.10(b) or ask your own counsel.

How often is this training needed?

At hire + annually; refresher before each blackout window for designated insiders.

Who needs this training?

All employees of public companies and their advisers; variant: directors/officers/Section 16 insiders (adds 10b5-1 plan lesson).

What records should I keep?

Record completion in your own LMS or record system, so you can show who finished the course and when. Check the retention period that applies to you in Securities Exchange Act of 1934 s.10(b).

Can I edit the content?

Yes, everything. Change the wording, swap scenarios for ones from your workplace, add your logo, or remove parts that don't apply. Keep anything your own law requires you to cover.

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Last reviewed: 8 October 2026Based on: Securities Exchange Act of 1934 s.10(b) and Rule 10b-5; Rule 10b5-1 (amended Dec 2022, effective Feb 27, 2023); s.21A (c…Templates are a starting point, not legal advice.

Ready to run it?

Open the live deck to see how the session runs alongside the course and both surveys.

See the live deck