Press Releases

Insider Trading Cases & Increased SEC Enforcement Lead To Develop Course On SEC Law

Brookline, MA, May 17, 2011 – To help financial professionals, stock plan participants, and investors stay out of trouble with the SEC and criminal prosecutors, has developed a new course, exam, and podcast on SEC law. These materials are based on the extensive articles and FAQs in the SEC Law section of Covered topics include SEC law basics, insider trading and tipping, Rule 10b5-1 plans, the requirements under Rule 144, and the Section 16 rules. The course and podcast complement the popular Think Twice DVD series for insider trading prevention and education that the staff of helped to develop.

While the course and exam cover several topics in SEC law, the podcast focuses mainly on insider trading. In an entertaining audio presentation, realistic hypothetical situations involving insider trading are discussed to explain the key misunderstandings about confidential information and stock trading that can get people into trouble with the SEC (even if they don't mean to break the rules).

New Course & Exam Expand CE Offerings For CFPs & CEPs

Located in the Learning Center on, the new course and exam on SEC law for stock plans offers 5 credits for CEPs and 3 credits for CFPs. Like all the continuing education offerings in the Learning Center, credits can be earned only by reading the entire course of study and then scoring 70% or better on the exam.

The Certified Financial Planner (CFP) Board of Standards and the Certified Equity Professional (CEP) Institute impose rigorous requirements for continuing education on their accredited members. Both organizations have approved every training course in the Learning Center at With the addition of the new course, the interactive self-study courses and exams of the Learning Center on now offer 15 continuing education credits for CFPs and 20 for CEPs. These amount to half of the total credits regularly required by the CFP Board and the CEP Institute.

In addition to the new course and exam, other courses and exams in the Learning Center cover nonqualified stock options, restricted stock and RSUs, employee stock purchase plans, and financial planning for stock compensation. A link to each is available on the Learning Center page and on the home page of

A Must-Have For Stock Comp Professionals & Plan Participants

" is now more important than ever for anyone who invests in stock or participates in stock plans at their company, and for stock plan professionals and financial advisors whose clients have stock compensation," says Bruce Brumberg, the website's Editor-in-Chief.

"The SEC law course is the first of its kind on securities laws and regulations of importance to anyone involved with or participating in stock plans. Our courses and exams were developed from the same award-winning educational content that CFPs and CEPs have come to depend on for vital education and research."

Corporate Licensing Available

All of the content on is ideally suited for licensing by companies, stock plan providers, and securities firms for training, research, and ongoing education. The courses and exams can be further customized by brokerage firms and financial institutions for their own training programs. As a bonus, staff with CEP or CFP accreditation can earn the CE credits offered by the online self-study courses. For more information, visit, email, or call 617-734-1979.


With exclusive articles, 750+ FAQs, the Tax Center, Global Tax Guide, an extensive glossary, and interactive tools, is the premier online resource of educational content, tools, and self-study courses on stock options, restricted stock, restricted stock units, performance shares, stock appreciation rights, and employee stock purchase plans. is written and managed by leading experts in equity compensation, and is produced by a company with a long history of successful publications explaining complex legal and financial subjects in plain English.

The influential consumer magazine PC World ranks among "the most useful sites ever" that "deliver top-notch information, support, and services." The accounting journal CPA Wealth Provider selected among companies "that have taken the lead through innovation, efficiency, initiative, or growth in the financial-planning area." The Specialized Information Publishers' Foundation honored MSO Pro with one of its Editorial Excellence Awards in the category of Best Interactive Content among niche publishers. The innovative Comparison Modeling Tool on is now patented. has also received extensive favorable coverage in major publications, including BusinessWeek, The Wall Street Journal, The New York Times, the San Francisco Chronicle, and The Boston Globe, and on CNN, National Public Radio, PBS,, and, the publisher of, has also launched a new website:, the only online educational resource devoted exclusively to nonqualified deferred compensation (NQDC). With clear writing and independent, unbiased expertise, myNQDC provides education about the financial planning, taxation, risk, and legal issues surrounding nonqualified deferred compensation and encourages participants to fully understand these topics and maximize the value of their plans. With tax rates likely to rise in the future, the tax-deferral advantages of NQDC will make these plans increasingly popular.

For more information, please contact Bruce Brumberg and Matt Simon at or 617-734-1979.

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