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Guide to Insider Trading: Online Publications at the SE

Guide to Insider Trading: Online Publications at the SEC

The Basics

Insider Trading

The information presented in this brochure will help you understand – and distinguish – legal and illegal insider trading.
http://www.sec.gov/answer/insider.htm

Insider Reports Filed with the SEC

Forms 3, 4, 5

These forms are used for insider trades; learn how to access them through the SEC's EDGAR database.
http://www.sec.gov/answers/form345.htm

NASDAQ.Com

You can view insider form 4 and insider summary data from this site. Enter the site's home page, key in a stock symbol, from your new page use the pull down menu to select "holdings/insider summary" or "insider form 4."
www.nasdaq.com

Insiders May Hold Restricted Stock

Rule 144: Selling Restricted and Controlled Securities

Many insiders often hold restricted or controlled stock. Learn about this type of equity issue here.
http://www.sec.gov/investor/pubs/rule144.htm

Rewards for Tips

Insider Trading: Whistleblower Program

The SEC's Whistleblower Program provides monetary incentives for individuals to come forward and report possible violations of the federal securities laws to the SEC. For additional information regarding the SEC's Whistleblower Program please visit the SEC's Office of the Whistleblower webpage.

View More Investor Information by Topic

http://www.sec.gov/investor.shtml

Investor Education Publications
http://www.sec.gov/investor/pubs_subject.shtml

Calculators for Investors
http://www.sec.gov/investor/tools.shtml

Check Out Your Broker
http://www.sec.gov/investor/brokers.htm

Help and How to File a Complaint at the SEC

SEC Center for Complaints and Enforcement Tips

Report suspicious activity, file a complaint about a financial professional or an investment product, or ask questions. The division of Enforcement and The Office of Investor Education and Advocacy created the SEC complaint center to address your concerns.
http://www.sec.gov/complaint.shtml

The SEC's Office of Investor Education and Advocacy

Our office acts as your gateway to the SEC. We cannot tell you what investments to make, but we can tell you how to invest wisely and protect your hard earned investment dollars from securities fraud and abuse. If you have suffered wrongdoing at the hands of a bad broker or investment adviser, we want to hear from you.
http://www.sec.gov/investor/pubs/aboutoiea.htm

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Complaint Form

We have provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.