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Articles

Article

Outline of Rule 144
More Details Sep 28,2018

Article

Section 16 Outline
More Details Sep 28,2018

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

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
More Details Aug 29,2002

Surveys & Studies

Sample Documents

NASPP Blog

NASPP Blog

Insider Trading: Who Monitors the Compliance Officer?

 Feb 14,2019Jennifer Namazi


Just two weeks ago I wrote a blog perusing the question of whether or not insider trading is still a “thing” ("Read More

NASPP Blog

Insider Trading: Still a Thing?

 Jan 31,2019Jennifer Namazi


Insider Trading is a topic I follow, and often find myself thinking that (with so many cases and many decades worth of examples to show insider trading gone wrong) I will soon run out of th...Read More

NASPP Blog

SEC Adopts Hedging Policy Disclosure Rule

 Jan 23,2019Barbara Baksa

Although it’s been almost nine years since the Dodd-Frank Act was signed into law, the SEC is still working on the regulations required thereunder. Mostly recently, in late December, the S...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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