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5610 Ward Rd, Ste 300 Arvada, CO 80002
9200 E. Mineral Ave, Ste 100 Centennial, CO 80112
Phone: (303) 252-0852
Website: www.walshfinancialsolutions.com
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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Vanderbilt Financial Group is the marketing name for Vanderbilt Securities, LLC and its affiliates. Securities offered through Vanderbilt Securities, LLC. Member: FINRA, SPIC. Registered with MSRB. Advisory Services offered through Walsh Financial Solutions or Vanderbilt Advisory Services. Walsh Financial Solutions and Vanderbilt Financial Group are separate and unaffiliated entities.
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