Tax Center / Global Tax Guide / Glossary / Discussion / Newsletters / About Us
Register Log in
myRecordsmyToolsmyClients
Advanced Course on SEC Law & Insider Trading for CEP or CFP Continuing Education Credit
Instructions: Please read the full course of study before taking the 30-question exam on it. Click on the sections below in any order you want. When you are ready for the exam, click on the link to it at the bottom of this page. To earn the CE credits (5 for CEPs, 3 for CFPs), you must read the whole course of study and then score 70% or better in the exam.
Section 1:
Basics of SEC Law


Section 2:
Insider Trading: Basics


Section 3:
Insider Trading: Advanced


Section 4:
Rule 10b5-1 Trading Plans


Section 5:
Rule 144: Basics


Section 6:
Rule 144: Advanced


Section 7:
Section 16: Basics


Section 8:
Section 16: Advanced


Think you're ready to take the exam? Click here.