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Your Guide to Insider Trading
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The Form 4 discloses any transactions and holdings to the SEC. Insiders are required to file anytime a change in ownership occurs.
Securities Law
Below are some of the important laws that regulate the securities industry
Securities Exchange Act of 1934
Securities Act of 1933
Sarbanes Oxley Act of 2002 (Public Company Accounting Reform and Corporate Responsibility Act of 2002)
Trust Indenture Act of 1939
Investment Company Act of 1940
Investment Advisers Act of 1940
Securities Investor Protection Act of 1970
Dodd-Frank Act of 2010 (Wall Street Reform and Consumer Protection Act of 2010)
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