Month: March 2023

Background The Commission created Rule 10b5-1 plans two decades ago. The rule essentially creates a safe haven for those who in good faith trade securities and are not in possession of inside information. Thus the plans provide a mechanism for …

The First Criminal Rule 10b-5-1 Case

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The Senate voted to overturn a rule which permits pension managers to consider ESG factors when making investments last week. The President previously started he supports the rule and would veto the action. This is the latest controversy surrounding the …

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