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SERS Board Governance Policy Manual Policy Name: Policy Number: Effective Date: Reviewed Date: Applies To: Contact Person: I.Insider and Personal Trading Policy 2020POLBD01 January 1, 2021, as amended

How to fill out 06-insider and personal trading

How to fill out 06-insider and personal trading

1. Step 1: Begin by downloading the 06-insider and personal trading form from the official website or obtaining a physical copy from your organization.
2. Step 2: Read the instructions and the accompanying guidelines carefully to understand the requirements for filling out the form.
3. Step 3: Provide your personal information, including your full name, contact details, and any relevant identification numbers.
4. Step 4: Clearly indicate your role within the organization and any positions that may involve insider trading.
5. Step 5: Fill out the trading activity section, providing details of any personal trading you have conducted during the specified period.
6. Step 6: Disclose any transactions involving stocks, securities, or other financial instruments that may be deemed insider trading.
7. Step 7: Review the completed form for accuracy and ensure all required fields are filled out.
8. Step 8: Sign the form to certify the information provided is accurate and complete.
9. Step 9: Submit the form as per the instructions provided, either by mailing it to the appropriate address or submitting it electronically.
10. Step 10: Retain a copy of the filled-out form for your records.

Who needs 06-insider and personal trading?

1. Employees working in organizations that are subject to insider trading regulations need to fill out the 06-insider and personal trading form.
2. Executives, directors, and officers within a company often require the form to comply with legal obligations and prevent insider trading.
3. Individuals who engage in personal trading and have access to non-public information about the company or its securities are required to complete the form.
4. Regulatory bodies and compliance departments may also request employees to fill out the form to ensure adherence to insider trading policies.
5. Investors and shareholders who engage in personal trading and are affiliated with the organization in question may need to submit the form to maintain transparency and comply with regulations.

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What is 06-insider and personal trading?

06-insider and personal trading refers to the buying or selling of securities by individuals who have access to non-public information about a company.

Who is required to file 06-insider and personal trading?

Individuals who are considered insiders of a company or who engage in personal trading of securities are required to file 06-insider and personal trading.

How to fill out 06-insider and personal trading?

To fill out 06-insider and personal trading, individuals need to report their transactions, including the date of the transaction, type of security, and the amount bought or sold.

What is the purpose of 06-insider and personal trading?

The purpose of 06-insider and personal trading is to ensure transparency and prevent insider trading, which can harm other investors in the market.

What information must be reported on 06-insider and personal trading?

Information such as the date of the transaction, type of security, amount bought or sold, and whether the transaction was conducted by an insider must be reported on 06-insider and personal trading.