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Institutional investment managers are required to disclose their investments. In this case it's called a 13F. Corporate insiders (officers, directors, and emp
by lujim 10y ago
Institutional investment managers are required to disclose their investments. In this case it's called a 13F.
Corporate insiders (officers, directors, and employees) need to disclose trades involving their own company.
I don't believe an individual trading his or her own money need to disclose anything to the SEC. I could be wrong though.
- sokoloff 10y agoRank and file employees generally do not have to disclose their trades. I've worked at 3 public companies and never had to disclose to the government. At Merrill Lynch (and at other private investment houses), we did have to have ALL of our trades cc'd to the compliance desk, but that's a Wall St thing, not a government thing.