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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.

Balancing Act: Trends in 10b5-1 Adoption and Oversight
Oct 01,2015

Report on the Morgan Stanley/NASPP 10b5-1 Survey of 325 companies.

Some Comments on the Pre-Clearance Procedure
Mar 11,2010

In our article “FINRA Reminds Securities Broker-Dealers Of Their Duty Of Due Diligence To Prevent The Public Resale Of ‘Unregistered Securities’ ’’ (Vol 37 Issue 3 Securities Regulation Law Journal 6 at pp. 293–302), we discussed the duty of securities broker-dealers to exercise due diligence to prevent the public resale of “unregistered securities.”

4 Trends in Trading Blackout Periods
Nov 17,2020
Barbara Baksa

The use of trading blackout periods is nearly universal at public companies. Here are four trends in blackouts, including which employees and transactions are subject to blackout and how long trades are prohibited.

Insider Trading: A 124k Penalty and Other Insights
Jun 11,2020
Jennifer Namazi

A contract accountant self-reports her insider trading violation to the SEC; insights on how to expand your insider list to reflect new workplace norms.

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.

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Sample Documents

Sample Employee Presentation on ESPP, Stock Options, and Awards
Jun 20,2012

Sample presentation for new hires on ESPP, stock options, and insider trading compliance program.

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 and, the issues you face today vary widely in scope and complexity.


Trends & Analysis from the 2014 Domestic Stock Plan Administration Survey
Oct 16,2014

Find out the latest practices and trends in stock compensation!

Trends and Analysis from the 2011 Stock Plan Administration Survey
Sep 27,2011

Find out the latest practices and trends in stock compensation!


Surveys & Studies

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.

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