- Securities Act of 1933, 15 USC § 77q, Fraudulent interstate transactions
- Securities Exchange Act of 1934
- Section 10(b), 15 USC § 78j, Manipulation and deceptive devices
- Section 20(a), 15 USC § 78t, Liability of controlling persons and persons who aid and abet violations
- Section 32, 15 USC § 78ff, Penalties, Willful violations
- Alternative Statutory Bases of Criminal Insider Trading Liability
- 18 USC § 1343, Fraud by wire, radio, or television
- 18 USC § 1348, Securities and commodities fraud
- Securities Exchange Act of 1934 Regulations
- 17 CFR § 240.10b-5, Employment of manipulative and deceptive devices
- 17 CFR § 240.10b5-1, Trading “on the basis of” material nonpublic information in insider trading cases
- 17 CFR § 240.10b5-2, Duties of trust or confidence in misappropriation insider trading cases
- 17 CFR § 240.14e-3, Transactions in securities on the basis of material, nonpublic information in the context of tender offers
- 17 CFR Part 243, Regulation Fair Disclosure
- 98 Stat. 1264, Insider Trading Sanctions Act of 1984
- 102 Stat. 4677, Insider Trading and Securities Fraud Enforcement Act of 1988
- 126 Stat. 291, Stop Trading on Congressional Knowledge Act of 2012
More topics in this series
- Insider Trading Overview
- Statute of Limitations
- Who May be Liable for Insider Trading?
- Element: Jurisdiction
- Spotlight on the Extraterritorial Reach of Insider Trading Laws
- Element: Trading While in Possession
- Element: Material, Non Public Information (MNPI)
- Element: Breach of a Duty
- Classical Theory: Breach by a Corporate Insider
- Misappropriation Theory: Breach by a Corporate Outsider
- Element: In Exchange for Value
- Element: Knowledge and Scienter
- Alternative Criminal Basis of Insider Trading Liability: Conspiracy
- Conspiracy to Defraud the US
- Alternative Basis of Criminal Liability: Wire Fraud
- Alternative Basis of Criminal Liability: Securities and Commodities Fraud under 18 USC § 1348
- Defenses
- The Safe Harbor Defense under Rule 10b5-1
- The STOCK Act