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.
Report on the Morgan Stanley/NASPP 10b5-1 Survey of 325 companies.
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
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.
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.
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.
Sample presentation for new hires on ESPP, stock options, and insider trading compliance program.
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.
Find out the latest practices and trends in stock compensation!
Highlights of the 2017 Domestic Stock Plan Administration Survey, cosponsored by the NASPP and Deloitte Consulting LLP.
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