Insider Transactions Data Sets - SEC.gov
Insider Transactions Data Sets. Section 16 of the Securities Exchange Act of 1934 requires senior executives, directors, and 10%+ shareholders (“insiders”) to make initial and ongoing filings about their company stock holdings, including to report most of their transactions in the company’s stock. The Insider Transactions Data Sets is ...
Guide to Insider Trading: Online Publications at the SE - SEC.gov
Sep 23, 2012 · 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.
Insider Trading Arrangements and Related Disclosures - SEC.gov
A Small Entity Compliance Guide Introduction. On December 14, 2022, the Securities and Exchange Commission (the “Commission”) adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (the “Exchange Act”), which provides affirmative defenses to trading on the basis of material nonpublic information in insider trading cases.
Search Filings - SEC.gov
Jul 2, 2024 · Search Filings. Enjoy free public access to millions of informational documents filed by publicly traded companies and others in the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
SEC Levies More Than $3.8 Million in Penalties in Sweep of Late ...
“To make informed investment decisions, shareholders rely on, among other things, timely reports about insider holdings and transactions and changes in potential controlling interests,” said Thomas P. Smith, Jr., Associate Regional Director of the SEC’s Division of Enforcement.
SEC Charges Corporate Insiders for Failing to Timely Report ...
2023-201. Washington D.C., Sept. 27, 2023 —. The Securities and Exchange Commission today announced charges against six officers, directors, and major shareholders of public companies for failing to timely report information about their holdings and transactions in company stock. Five publicly-traded companies were also charged for ...
SEC.gov | Submit a Tip or Complaint
Possible securities law violations like fraud, Ponzi schemes, insider trading, market manipulation, or other wrongdoing A problem I'm having with my investment account or financial professional The SEC or self-regulatory organizations (SROs) such as stock exchanges or FINRA
SEC Charges Former Financial Consultant for Providing Father and ...
Sep 13, 2024 · The Securities and Exchange Commission today charged Federico Nannini, his father, and two of his friends for insider trading in advance of the pending acquisition of Infrastructure and Energy Alternatives, Inc. (IEA) by MasTec Inc., a client of the financial consulting firm where Nannini worked as an associate.
SEC.gov | Report Suspected Securities Fraud or Wrongdoing
Fraudulent or unregistered offer or sale of securities, including things like. Ponzi schemes. Pyramid schemes. High-Yield Investment Programs. Theft or misappropriation of funds or securities. Manipulation of a security's price or volume. Insider trading. False or misleading statements about a company (including false or misleading SEC reports ...
Securities Exchange Act of 1934) file with the SEC a statement of ownership regarding those securities. The Insider Transactions data sets are extracted from EDGAR Ownership XML submissions in a flat file format to assist users in constructing the data for analysis. The data has been automatically and