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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.
Overview of Topic:
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.