Securities & Insider Trading

Helps employees navigate quiet periods and SEC regulations — turning potential insider trading violations into coaching moments before material non-public information is shared or acted upon.

A Casual Message Can Become an SEC Enforcement Action

Employees who know about upcoming acquisitions, earnings surprises, or material events don't always realize when a casual comment crosses the line. A text to a friend, a Slack message to a colleague, or an email suggesting someone "buy shares" can trigger SEC investigations. SideNote coaches your teams at the moment of writing, reinforcing your insider trading policies before MNPI is shared.

Slack — Direct Message
Hey — you won't believe what I just found out.
⚠️ Just heard we're about to announce the acquisition — might be a good time to buy some shares
before the price jumps.
Insider Trading Alert

Sharing or acting on material non-public information violates SEC regulations and company policy. Unannounced acquisitions are MNPI — do not share or recommend trading. Review the company's insider trading policy immediately.

Real-Time Securities Compliance Coaching

Developed in collaboration with Big Law securities practitioners, this model reinforces your organization's insider trading policies at the point of communication.

MNPI Detection

Identifies references to material non-public information in real time — unannounced earnings, pending M&A transactions, regulatory decisions, material contracts, and other price-sensitive events — across all communication channels.

Quiet Period Enforcement

Provides heightened coaching during blackout and quiet periods. When employees are subject to trading restrictions, SideNote reinforces the boundaries and explains why certain communications carry elevated risk.

Trading Window Coaching

Detects language suggesting trading activity, stock recommendations, or tipping behavior — coaching employees on proper procedures, pre-clearance requirements, and the personal consequences of insider trading violations.

Compliance Officer Intelligence

Aggregated, anonymized analytics give the General Counsel's office visibility into MNPI risk patterns, quiet period compliance rates, and communication hotspots — enabling targeted training and proactive policy enforcement.

Built for Publicly Traded and Pre-IPO Companies

The Securities & Insider Trading model is essential for any publicly traded company, pre-IPO organization, or financial services firm where employees regularly encounter material non-public information — from deal teams and finance departments to executive leadership and board members.

Deploy alongside the Core 4 models to extend protection to your corporate development, investor relations, finance, legal, and executive teams — the people most likely to possess MNPI and face insider trading risk.

Publicly traded companies across all industries
Investment banks & financial advisory firms
Private equity & venture capital firms
Pre-IPO companies with material events

How the Model Thinks

Detect
Identifies MNPI references, trading language, and tipping indicators
Assess
Evaluates materiality, trading window status, and recipient relationship
Coach
Reminds the employee of insider trading policy and pre-clearance requirements

Protect Against Insider Trading Risk

See how the Securities model coaches your teams to navigate MNPI, quiet periods, and trading policies in every communication.

Request a Demo