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Half Empty or Half Full? Thoughts on the SEC's Rule 10b5-1 Proposal

January 19, 2022

Episode Notes

  • Background on the Rule 10b5-1 proposal (0:25)
  • Required cooling-off period (2:28)
  • Prohibition on overlapping plans (4:26)
  • Limitation on single-trade plans (5:34)
  • Good faith requirement (6:52)
  • Certification requirement (8:13)
  • Quarterly disclosure of adoption and termination of 10b5-1 plans by officers and directors (9:25)
  • Form 10b5-1 checkbox on Forms 4 and 5 (9:34)
  • Reporting gifts on Form 4 (9:51)
  • Disclosure of insider trading policies (10:07)
  • Disclosure of options granted to named executive officers or directors within 14 days of company filings and repurchases (10:17)
  • John's additional thoughts on the proposed rules (10:47)
  • Happenings at CCRcorp that NASPP members might be interested in (12:11)
  • Additional resources (12:52)

Resources Mentioned in this Episode

  • Barbara Baksa
    By Barbara Baksa

    Executive Director

    NASPP

  • By John Jenkins

    Senior Editor

    CCRcorp

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