Posts tagged Pre-established plan.
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Recent SEC Enforcement Action Provides Cautionary Guidance for Adopting and Structuring 10b5-1 Plans

We continue to see a strong interest among executive officers and directors in adopting Rule 10b5-1 sales plans, despite the current market downturn.  With economic uncertainty, a recent SEC enforcement action should be of note to insiders when adopting and structuring a 10b5-1 plan.

Tags: 10b5-1 plans   Blackout periods   Insider sales   Insider Trading   known trends, demands, commitments, events or uncertainties   Pre-established plan   Regulation S-K Item 303   Rule 10b5-1   Window periods
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