Compliance & Ethics Glossary

A plain-language reference for compliance officers, HR teams, and anyone building an ethics program.

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28 terms in Insider Trading Controls

A

Affirmative Defense

B

Blackout Period

C

Classical Theory of Insider Trading

Constructive Insider

Corporate Insider

D

Duty to Disclose or Abstain

E

F

G

I

Information Barrier

Insider Trading Policy

M

Material Nonpublic Information

Misappropriation Theory

P

Personal Trading Policy

Q

Quarterly Blackout Period

R

Restricted List

Rule 10b5-1 Plan

S

Section 16 Reporting

Selective Disclosure

Short-Swing Profit Rule

T

Trading Pre-Approval