Corporate Regulatory Compliance

0 Item(s)

IR Competency Suite Module

Keyword(s) regulation, Reg FD, Reg G, quiet period, insider trading, Sarbanes-Oxley, SEC, proxy, disclosure, audit

PDU: 1

Credit CAT-II:1.0

Tag(s) IR Competency Suite

Description

Corporate Regulatory Compliance

IR Competency Framework Domain 9

This module examines the IR professional’s responsibilities regarding compliance with government regulations for structured and unstructured disclosure, including Regulation FD and Regulation D. It reviews the IR professional’s responsibility to understand and prepare key SEC filings, including the purpose and timing of each filing. It examines the IR professional’s participation in the company’s disclosure committee and related collaborative activities, including formulating and implementing internal and external guidelines and practices that support compliance.

Learning Objectives:

Explain the key features of Regulation FD and Regulation G
Identify required SEC filings
Describe quiet period and blackout policies
Describe an IR professional’s responsibilities regarding disclosure and communication
Explain relevant exchange rules and listing standards

This module is part of the IR Competency Suite™. IRC credential holders can claim 1 professional development unit (PDU) for completion of each module.