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Latest Developments

Rule 10b5-1 Plans at 20: Enforcement Trends & Best Practices
Feb 25,2020

This Morrison & Foerster alert provides an overview of enforcement trends regarding Rule 10b5-1 plans, discusses the proposed legislative changes to Rule 10b5-1 plans, and advises on best practices for Rule 10b5-1 plans— both as the law currently governs them and in line with anticipated changes.

Combatting Securities Fraud Allegations With 10b5-1 Trading Plans
Jul 24,2017

This memo discusses Tetraphase Pharmaceuticals and other case law regarding the role of 10b5-1 plans, briefly outlines the requirements of 10b5-1 plans, and provides practical reminders to corporations and their counsel on crafting plans that will likely be most successful in shielding corporate executives from liability.This memo discusses Tetraphase Pharmaceuticals and other case law regarding the role of 10b5-1 plans, briefly outlines the requirements of 10b5-1 plans, and provides practical reminders to corporations and their counsel on crafting plans that will likely be most successful in shielding corporate executives from liability.This memo discusses Tetraphase Pharmaceuticals and other case law regarding the role of 10b5-1 plans, briefly outlines the requirements of 10b5-1 plans, and provides practical reminders to corporations and their counsel on crafting plans that will likely be most successful in shielding corporate executives from liability.

Update on Insider Trading and the Use of 10b5-1 Plans
Jan 06,2017

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.

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10b5-1 Plan Best Practices for any Market Climate
May 14,2020
Jennifer Namazi

Learn about the latest best practices in implementing and monitoring 10b5-1 plans.

Tips to Aid Insiders in Trading During COVID-19
Apr 30,2020
Jennifer Namazi

Increased scrutiny from regulators during the pandemic means extra caution for insiders in trading the company's stock. Learn more about the do's and don'ts of insider trading.

Speculating About 10b5-1 Plans
Feb 04,2016
Jennifer Namazi

Speculating About 10b5-1 Plans

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Sample Documents

Checklist: Rule 10b5-1 Plans
May 11,2017

A checklist for implementing Rule 10b5-1 trading plans.

Sample Rule 10b5-1 Trading Plan Template
Jul 09,2010

Due to the continual changes to Section 16 practice resulting from SEC staff interpretations and Section 16(b) litigation, companies and compliance personnel regularly are confronted with new challenges in keeping their advice and their compliance programs up to date. As reflected by the many questions posed daily on the electronic forums of Section16.net and Naspp.com, the issues you face today vary widely in scope and complexity.

10b5-1 Plan - Issuer Administration Checklist
Apr 18,2008

Use this checklist to administer (review and process) 10b5-1 plans for your insiders.

Podcasts

Surveys & Studies

Evolving Practices for 10b5-1 Plans
Nov 12,2018

This executive summary highlights results from the quick survey on Rule 10b5-1 plans cosponsors by the NASPP, Morgan Stanley, and Shearman & Sterling.

Survey Says: 10 Dos & Don'ts of Stock Plan Administration
Oct 17,2017

Highlights of the 2017 Domestic Stock Plan Administration Survey, cosponsored by the NASPP and Deloitte Consulting LLP.

Regulations & Statutes

Rule 10b5-1
Aug 07,2008

Read rule 10b5-1 in entirety.

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The National Association of Stock Plan Professionals is the largest and oldest professional association for the stock and executive compensation community, with over two decades of leadership providing expert resources, education and other benefits for our more than 6,000 members across 32 affiliated chapters.

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