[SIE] 54, Insider Trading

Open Exam Prep · Jan 31, 2026 · 3m

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam exam. In this episode you will learn: - What defines information as both "material" and "non-public." - The broad definition of a corporate insider, including temporary or constructive insiders. - The legal framework of tipper and tippee liability in an insider trading case. - The severe civil and criminal…