Report Insider Trading Anonymously and Securely

Suspected insider trading undermines market integrity and investor confidence. This anonymous insider trading tip form provides a secure, confidential channel for whistleblowers, compliance officers, and concerned individuals to report suspicious trading activity to regulatory authorities like the SEC.

Why Use This Form for Regulatory Reporting?

This template is designed specifically for financial services firms, compliance departments, legal professionals, and concerned market participants who need to document and report potential securities violations. The structured format ensures all critical information—transaction timelines, evidence, relationships between parties, and suspicious patterns—is captured in a way that regulatory investigators can act on quickly.

Unlike email or phone tips, this form creates a complete, time-stamped record of your report with secure file uploads for supporting documentation like trading records, communications, and financial statements. Conditional logic guides reporters through relevant follow-up questions based on their role and the nature of the suspected violation.

Automate Your Compliance Workflow

Connect this form to Stepper to automatically route high-priority tips to compliance teams, create case files in your investigation management system, and trigger secure notifications to legal counsel. You can set up workflows that categorize tips by severity, assign reviewers, and maintain confidential audit trails—all without manual data entry.

For organizations that need formal investigation documentation, integrate with Papersign to generate confidentiality agreements, witness statements, or sworn declarations that can be electronically signed and attached to the case file.

Built for Confidentiality and Compliance

This form template supports anonymous submissions while still capturing enough detail to enable effective investigation. It's ideal for SEC-registered firms, broker-dealers, investment advisors, public companies, law firms specializing in securities law, and compliance consultants who need to maintain whistleblower protection protocols while fulfilling reporting obligations.

Paperform is SOC 2 Type II compliant with robust security controls, data encryption, and audit logging—giving you confidence that sensitive tip information is handled with the same rigor as your other compliance systems.