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Regulation Fair Disclosure
Learn how to build transparency and compliance with Regulation Fair Disclosure.Preview the first lesson free — get full access to all 16 lessons.
Essential Provider : KnowledgeCity 3 chapters · 16 Lessons · 47m in Arabic, English, Spanish
Course Description
Keeping information fair and open is a necessary requirement for a corporate professional. Imagine you're an investor, but another investor gets access to financial reports or earnings forecasts before you do. Regulation Fair Disclosure, or Regulation FD, prevents this kind of imbalance. Before it was passed, large investors and analysts could gain early access to inside information, leaving others at a disadvantage. Firms would share valuable information with certain individuals before it was released to the general public. This course covers how different entities within your company can protect market fairness, like compliance and legal teams, the investor relations department, and executives. These groups are involved in the process of managing sensitive information, from navigating media and analyst interactions to choosing the right ways to distribute material information.
In this course on Regulation FD, you’ll learn about its scope, requirements, and associated best practices. You will explore what constitutes material information, how you can avoid selective disclosure, and what to do if material information is selectively disclosed. By the end of this course, you’ll have the skills you need to maintain fair, transparent, and legally compliant communication.
What You'll Learn
- Define material nonpublic information and what constitutes material information
- Explain the channels and methods companies can use to make public disclosures
- Identify the consequences of noncompliance with the SEC and how enforcement works
- Develop best practices for avoiding selective disclosure
- Handle media interactions, analyst communications, rumors, and unintentional disclosures
- Create a disclosure policy and assign roles, responsibilities, and internal monitoring
Key Takeaways
- Regulation Fair Disclosure (Regulation FD) prevents information imbalances by stopping firms from giving select investors or analysts early access to material nonpublic information.
- Multiple groups within a company, including compliance and legal teams, investor relations, and executives, are involved in managing sensitive information and protecting market fairness.
- The course covers the scope, requirements, and best practices of Regulation FD, including what to do if material information is selectively disclosed.
- Maintaining fair, transparent, and legally compliant communication requires choosing the right channels to distribute material information and avoiding selective disclosure.
- The course addresses Regulation FD in the digital age, confidentiality agreements, and how to handle rumors, market speculation, and unintentional disclosures.
Frequently Asked Questions
Who is this course for?
It is for corporate professionals and the entities involved in managing sensitive information, including compliance and legal teams, the investor relations department, and executives.
What does this course cover?
It covers the scope, requirements, and best practices of Regulation Fair Disclosure, including what constitutes material information, how to avoid selective disclosure, and what to do if material information is selectively disclosed.
What skills will I gain?
By the end, you will have the skills to maintain fair, transparent, and legally compliant communication, including handling media and analyst interactions, rumors, and unintentional disclosures.
What topics are included in the lessons?
Lessons include the scope and applicability of Regulation FD, SEC enforcement and consequences, fair disclosure methods, creating a disclosure policy, roles and responsibilities, internal monitoring, training and education, Regulation FD in the digital age, and confidentiality agreements.
Are there any prerequisites?
The course does not state any prerequisites.
Professional Certifications and Continuing Education Units (CEUs)
Project Management Institute (PMI®)
Professional Development Units (PDUs): 1.0
KnowledgeCity has been reviewed and approved by the PMI® Authorized Training Partner Program. Users can maintain your PMI credentials by earning PDUs from KnowledgeCity qualified courses in Project Management, Business Management, Leadership and many others.
Society for Human Resource Management (SHRM®)
Professional Development Credits (PDCs): 1.0
KnowledgeCity is approved by SHRM as a Recertification General Provider to offer SHRM-CP or SHRM-SCP professional development credits (PDCs). By taking the courses approved by SHRM, KnowledgeCity can award SHRM Professional Development Credits (PDCs) for HR knowledge and competency programs related to the SHRM Body of Applied Skills and Knowledge™ (the SHRM BASK™).
