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Trends in Insider Trading Compliance

November 17, 2020


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 Highlighted In This Episode

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