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Articles

Article

Combatting Securities Fraud Allegations With 10b5-1 Trading Plans
More Details Jul 24,2017

Article

Update on Insider Trading and the Use of 10b5-1 Plans
More Details Jan 06,2017

Article

The Equity Equation: What to do when your Board goes global
More Details May 10,2016

Article

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

Article

Executive Stock Ownership Guidelines Report
More Details Dec 31,2013

Article

Director Stock Ownership Guidelines and Holding/Retention Requir...
More Details Jul 01,2013

Article

Outline of Rule 144
More Details Jul 01,2013

Article

Developments Under Section 16
More Details Jul 01,2013

Article

Hold Until Retirement (or Beyond): Paying for Long-Term Performance
More Details Jul 01,2011

Article

Executive Stock Ownership Policies - Trends and Developments
More Details Sep 13,2010

Article

Key Fixes for Today's Stock Plans: Hold Through Retirement Provi...
More Details Sep 01,2010

Article

Some Comments on the Pre-Clearance Procedure

More Details Mar 11,2010

Article

FAQ: Rule 10b5-1 Plans
More Details Feb 28,2009

Article

Practice Pointers: Rule 10b5-1 Plans and SOX Section 402 Issues
More Details Jan 12,2005

Article

Glossary of Section 16 Terms
More Details Nov 19,2003

Regulations & Statutes

Regulations & Statutes

Form 3
More Details Nov 30,2011

Regulations & Statutes

Form 4
More Details Nov 30,2011

Regulations & Statutes

SEC Rel. No. 34-37260
More Details Sep 11,2008

Regulations & Statutes

Rule 10b5-1
More Details Aug 07,2008

Regulations & Statutes

Rule 144 as Amended
More Details Feb 15,2008

Regulations & Statutes

SEC Rel. No. 33-7390
More Details Jul 05,2007

Regulations & Statutes

SEC Rel. No. 33-8600
More Details Aug 01,2005

Regulations & Statutes

Section 16 Electronic Reporting FAQ
More Details Aug 14,2003

Regulations & Statutes

Section 16 Final Rule
View Aug 29,2002

Surveys & Studies

Surveys & Studies

Evolving Practices for 10b5-1 Plans
More Details Nov 12,2018

Surveys & Studies

The ClearBridge 100 Report
More Details May 31,2018

Surveys & Studies

Survey Says: 10 Dos & Don'ts of Stock Plan Administration
More Details Oct 17,2017

Surveys & Studies

NASPP Quick Survey: Stock Ownership Guidelines
More Details Mar 31,2012

Surveys & Studies

NASPP Quick Survey: Section 16 Procedures
More Details Jan 15,2011

Sample Documents

Sample Document

Checklist: Rule 10b5-1 Plans
More Details May 11,2017

Sample Document

Ownership Guidelines Checklist & Template
More Details Jan 24,2013

Sample Document

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

Sample Document

Stock Ownership Monitoring Chart
More Details Jun 30,2011

Sample Document

Sample Rule 10b5-1 Trading Plan Template
More Details Jul 09,2010

Sample Document

10b5-1 Plan - Issuer Administration Checklist

More Details Apr 18,2008

Sample Document

Sample Power of Attorney
More Details Nov 19,2003

Sample Document

Sample Insider Trading Policy
View Aug 18,1998

NASPP Blog

NASPP Blog

Insider Trading: The SEC's Interest in Social Media Activity

 Oct 25,2018Jennifer Namazi

On a recent fall evening, I found myself attempting to explain to one of my tween aged children (whose head was firmly down, eyes fixated on the glow of Instagram emanating from her mobile device) ...Read More

NASPP Blog

Is an Educated Guess Material Nonpublic Information?

 Apr 24,2018Barbara Baksa

Last year, a Special Committee of the Board of Directors of Equifax announced that it ha...Read More

NASPP Blog

Two Wins on Share Withholding Litigation

 Apr 03,2018Barbara Baksa

Two courts have recently decided in favor of the defendants in suits brought by plaintiffs’ attorneys. The suits allege that transactions in which shares were withheld to cover taxes on RS...Read More

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The National Association of Stock Plan Professionals is the largest and oldest professional association for the stock and executive compensation community, with over two decades of leadership providing expert resources, education and other benefits for our more than 6,000 members across 32 affiliated chapters.

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