SEC Charges Public Company Executives with Insider Trading  Despite Trading Through Purported Rule 10b5-1 Trading Plans

09.26.22

Corporate officers and directors sometimes view having a Rule 10b5-1 trading plan as an impenetrable barrier to facing insider-trading charges. But a recent case announced by the SEC demonstrates that such plans are not bulletproof.[1] If an executive enters into such a plan while in possession of material nonpublic information, insider-trading charges could ensue. The...

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