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Wilson, NC 27896
Phone: 252-237-4357
Fax: 252-243-2681
September/October 2017
On the Inside
You may think of “insider trading” as an illegal stock transaction. But not all insider trading is illegal.
Legal insider trading occurs when corporate insiders, such as officers, directors, and employees, buy and sell stock in their own companies. When corporate insiders trade in their own securities, they must report their trades to the Securities and Exchange Commission.
Illegal insider trading refers generally to buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material, nonpublic information about that security. Typically, insiders include corporate executives and others, including friends and relatives, who have access to such information and use it for profit.
Individuals who have no direct connection to a company can also be guilty of insider trading if they trade stock because of confidential information they’ve received.
FR2017-0504-0006/E
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