Tag: Rule 10b-5-1 plans

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

Read More »

Tagged with: ,

Rule 10b-5-1 plans have been around for about 20 years. The theory of the plans is straight forward. Typically, a corporate executive not in possession of inside information constructs a plan, usually with his or her broker, for the automatic …

SEC Chair Gensler and Rule 10b-5-1 Plans Read More »

Tagged with: , ,