Business people designing a 10b5-1 plan

Understanding the New Rules for 10b5-1 Plans

February 15, 2023, 10:30 AM - 11:45 AM

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Newly adopted SEC rules for 10b5-1 trading plans impose significant new restrictions on these important tools for insider trading compliance. This webinar will examine what is required under the rules, discuss how your company’s policies for 10b5-1 plans need to be adjusted, and highlight specific implications for equity plan transactions.

Key questions this webinar will answer:

  • How long of a cooling off period is required under the new rules?
  • What limitations do the new rules place on overlapping and single-trade plans?
  • What other new requirements, such as good faith and certifications, do companies need to be aware of?
  • What disclosures will be required under the new rules?
  • How do the new rules affect Forms 4 and 5?


  • Gayle Hobson, HIPAA Compliance Officer and Securities Compliance Manager, YUM! Brands, Inc.
  • Debbie McGrath, Director of Executive Advisory Services, Retirement and Personal Wealth Solutions Group, Bank of America
  • Sharmon Priaulx, Managing Director, PwC
  • David Schuette, Partner, Mayer Brown

Continuing Education

This program qualifies for continuing education for Certified Equity Professionals (CEPs). Please keep a record of your attendance and refer to the CEP Institute standards to determine the amount of credit you can receive.

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