Guide to Insider Trading: Online Publications at the SEC
Insider TradingThe information presented in this brochure will help you understand and distinguish legal and illegal insider trading.
Insider Reports Filed with the SEC
Forms 3, 4, 5These forms are used for insider trades; learn how to access them through the SEC's EDGAR database.
NASDAQ.ComYou 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."
Insiders May Hold Restricted Stock
Rule 144: Selling Restricted and Controlled SecuritiesMany insiders often hold restricted or controlled stock. Learn about this type of equity issue here.
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 Topichttp://www.sec.gov/investor.shtml
Help and How to File a Complaint at the SEC
SEC Center for Complaints and Enforcement TipsReport 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.
The SEC's Office of Investor Education and AdvocacyOur 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.
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