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  2. Form 4 - Wikipedia

    en.wikipedia.org/wiki/Form_4

    Form 4 is a United States SEC filing that relates to insider trading.Every director, officer and owner of more than 10 percent of a class of a particular company's equity securities registered under Section 12 of the Securities Exchange Act of 1934 must file with the United States Securities and Exchange Commission a statement of ownership regarding such security.

  3. SEC filing - Wikipedia

    en.wikipedia.org/wiki/SEC_filing

    S-4/A Registration of securities issued in business combination transactions (Amendment) S-4EF S-4EF/A S-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4 S-6 Initial registration statement filed on Form S-6 for unit investment trusts S-6/A

  4. Insider trading - Wikipedia

    en.wikipedia.org/wiki/Insider_trading

    Insider trading in India is an offense according to Sections 12A and 15G of the Securities and Exchange Board of India Act, 1992, and the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015. Insider trading is when one with access to non-public, price-sensitive information about the securities of the ...

  5. Form 5 - Wikipedia

    en.wikipedia.org/wiki/Form_5

    Form 5 is an SEC filing submitted to the Securities and Exchange Commission on an annual basis by company officers, directors, or beneficial (10%) owners, which summarizes their insider trading activities. This form is simply a combination of year's Form 4 filings, which are mandatory filings made shortly after insiders make transactions.

  6. ‘Too many gaps’: Why the SEC is looking to update insider ...

    www.aol.com/finance/too-many-gaps-why-sec...

    The rules around insider trading seem simple: Corporate insiders can’t turn a profit or dodge a loss on their stocks while they have pertinent information that regular investors don’t know.

  7. Insider Trading Enforcement Intensifies Across Markets and ...

    www.aol.com/news/insider-trading-enforcement...

    The development of both derivatives- and securities-centric task forces to address insider trading signals intensified regulatory focus on this area of law across financial markets.

  8. SEC Rule 10b5-1 - Wikipedia

    en.wikipedia.org/wiki/SEC_Rule_10b5-1

    SEC Rule 10b5-1, codified at 17 CFR 240.10b5-1, is a regulation enacted by the United States Securities and Exchange Commission (SEC) in 2000. [1] The SEC states that Rule 10b5-1 was enacted in order to resolve an unsettled issue over the definition of insider trading, [2] which is prohibited by SEC Rule 10b-5.

  9. US SEC charges BP manager's husband with insider trading over ...

    www.aol.com/news/us-sec-charges-bp-managers...

    The U.S. Securities and Exchange Commission said on Thursday it has charged the husband of a BP Plc manager with insider trading over the energy company's $1.3 billion deal to buy TravelCenters of ...