STOCK Act Compliance Guide
Comprehensive overview of the Stop Trading on Congressional Knowledge Act, disclosure requirements, and compliance procedures for Congressional trading activity.
Stop Trading on Congressional Knowledge Act
Passed in 2012 to prevent insider trading by members of Congress and their staff
Enhanced Disclosure Requirements
Mandates electronic filing and public access to Congressional financial disclosures
Political Intelligence Lobbying
Requires registration of political intelligence consultants
- 30-45 day reporting window
- Electronic filing requirements
- Public access timelines
- Late filing penalties
- Individual stocks and bonds
- Mutual funds and ETFs
- Options and derivatives
- Real estate investments
- $1,000+ transaction threshold
- Aggregate reporting requirements
- Spousal account reporting
- Dependent child disclosures
- House Ethics Committee review
- Senate Ethics Committee oversight
- SEC enforcement authority
- Public disclosure databases
Trade Execution
Congressman executes stock trade through brokerage account
30-45 Day Window
Disclosure period begins following trade execution
Electronic Filing
Transaction reported through official disclosure systems
Public Disclosure
Information becomes publicly available for review
Oversight Bodies
House Ethics Committee
Reviews House member compliance and investigates violations
Senate Ethics Committee
Oversees Senate member disclosure requirements and compliance
SEC Enforcement Division
Investigates potential securities law violations
Penalties & Consequences
Civil Fines
Financial penalties for late or incomplete disclosures
Criminal Charges
Potential prosecution for willful violations
Committee Censure
Congressional disciplinary actions for ethics violations
Verified Sources Only
All data sourced exclusively from official government filings and disclosure systems
Complete Audit Trail
Detailed documentation of data sources and verification processes
Regular Compliance Reviews
Ongoing monitoring of regulatory changes and compliance requirements
Official HOUSE.gov
House of Representatives official disclosure resources
Senate.gov Disclosures
Senate financial disclosure databases and forms
Compliance Guide PDF
Downloadable compliance reference guide
What is the penalty for violating the STOCK Act?
Penalties can include civil fines up to $200,000, criminal charges for willful violations, and disciplinary action by Congressional ethics committees.
How quickly must trades be disclosed?
Members of Congress must disclose stock trades within 30-45 days of execution, with electronic filing required for timely reporting.
Are family member accounts included in disclosures?
Yes, members must disclose trades by spouses and dependent children, providing comprehensive transparency into family investment activity.