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Trends in Insider Trading Compliance

Trends in Insider Trading Compliance




Nov 17,2020 |

Trends in Insider Trading Compliance

Data from the NASPP/Deloitte Consulting 2020 Domestic Stock Plan Administration Survey identifies trends in insider trading compliance.

Host: Jennifer Namazi, Content Director, NASPP

Guest: Barbara Baksa, Executive Director, NASPP


Episode Notes: 

Overview: How are companies approaching insider trading compliance? (2:16)
Are insiders using captive/designated brokers for their trades? (4:05)
Trends in Rule 10b5-1 plans (8:36)
Blackout periods: who is subject to them? (15:06)
Prohibited/permitted transactions during a trading blackout (19:21)
Length of trading blackout period (23:47)
SEC reporting for insiders: who has primary responsibility? (26:54)


Resources mentioned in this episode:

2020 Domestic Stock Plan Administration Survey (NASPP/Deloitte Consulting)
2020 Domestic Stock Plan Administration Survey Executive Summary (NASPP/Deloitte Consulting)
4 Trends in Trading Blackout Periods (NASPP Blog)
Top Trends: Plan Administration, ESPPs, Ownership Guidelines, Insider Trading Compliance (NASPP Webcast)
 

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