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Insider Trading and Information Misuse Quiz

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Question 1 of 5

1. Question

What does MNPI stand for in the context of insider trading?

Market Non-Public Intelligence

Material Non-Public Information

Managed National Private Investment

Mandatory Non-Public Instructions

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Question 2 of 5

2. Question

The surveillance system uses three time windows for comparison. If a price-sensitive event occurs on Day 15, and the system uses a 5-day comparison window and a 30-day reference window, which days would be analyzed in the comparison window?

Days 15-19

Days 1-5

Days 10-14

Days 11-15

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Question 3 of 5

3. Question

A Wall Crossing alert would be triggered in which scenario?

An M&A analyst who has been "brought over the wall" for Deal X attempts to trade options on Company X

A compliance officer reviews trading patterns after a merger announcement

A trader with no access to MNPI trades a stock that happens to be on someone else's restricted list

An analyst trades in a competitor of a company they're advising, but not the company itself

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Question 4 of 5

4. Question

According to the Insider Dealing surveillance alert, which factors does the system specifically monitor?

The trader's previous compliance history

Entities trading within a lookback window before significant market events

Whether the trader attended company meetings

Traders showing significant price advantages compared to market prices

Trading in substantial quantities

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Question 5 of 5

5. Question

What is the key difference between Insider Dealing and Insider Trading as described in the surveillance alerts?

Insider Trading includes monitoring both executed trades AND submitted orders, while Insider Dealing focuses on completed trades

Insider Dealing only applies to company executives

Insider Trading only applies to foreign securities

Insider Dealing includes monitoring both executed trades AND submitted orders, while Insider Trading focuses on completed trades

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