How do my officers and employees file reports of personal securities trading transactions?

CFR · 2024-01-01 · US · Title 12

An officer or employee described in § 151.140(d) must report all personal transactions in securities made by or on behalf of the officer or employee if he or she has a beneficial interest in the security. (a) (1) The date of each transaction, the title and number of shares, the interest rate and maturity date (if applicable), and the principal amount of each security involved. (2) The nature of each transaction (i.e., purchase, sale, or other type of acquisition or disposition). (3) The price at which each transaction was effected. (4) The name of the broker, dealer, or other intermediary effecting the transaction. (5) The date the officer or employee submitted the report. (b) (1) He or she has no direct or indirect influence or control over the account for which the transaction was effected or over the securities held in that account; (2) The transaction was in shares issued by an open-end investment company registered under the Investment Company Act of 1940; (3) The transaction was in direct obligations of the government of the United States; (4) The transaction was in bankers' acceptances, bank certificates of deposit, commercial paper or high quality short term debt instruments, including repurchase agreements; or (5) The officer or employee had an aggregate amount of purchases and sales of $10,000 or less during the calendar quarter. (c)

official document · source cfr-2024 · id 12:§ 151.150