This article provides an update in insider trading compliance and the use of Rule 10b5-1 plans. The article discusses best practices for Rule 10b5-1 plans, such as cooling off/waiting periods, time limitations, allowing trades outside of the plan, use of multiple plans, modification/termination of plans, and more.
Rule 10b5-1 Plans at 20: Enforcement Trends & Best Practices
Combatting Securities Fraud Allegations With 10b5-1 Trading Plans
Balancing Act: Trends in 10b5-1 Adoption and Oversight
Some Comments on the Pre-Clearance Procedure
FAQ: Rule 10b5-1 Plans
Practice Pointers: Rule 10b5-1 Plans and SOX Section 402 Issues