Trends in Insider Trading Compliance

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

• 2020 Domestic Stock Plan Administration Survey (NASPP/Deloitte Consulting)
• 2020 Domestic Stock Plan Administration Survey Executive Summary (NASPP/Deloitte Consulting)
• 4 Trends in Trading Blackout Periods
• Top Trends: Plan Administration, ESPPs, Ownership Guidelines, Insider Trading Compliance

Additional Podcasts in This Series

• 5 Trends in Stock Administration Staffing and Practices
• Trends in Employee Stock Purchase Plans
• Trends in Stock Ownership Guidelines