SEA 1934 Rule 10b5-1
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Ex-CEO sentenced in first prosecution for stock sales via 10b5-1 trading plans
DOJ says he avoided $12.5m+ in losses by trading pursuant to two Rule 10b5-1 trading plans while allegedly in possession of MNPI.
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Negotiating the era of digital accountability
Why communication archiving, insider trading regulations and audit tech are effective guardrails for global financial markets amid times of volatility.
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First insider trading conviction based on misuse of 10b5-1 trading plans issued
The DOJ described the case as the first it has prosecuted exclusively based on a rule that allows company insiders to create a predetermined plan to sell shares.
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SEC puts concept of ‘shadow insider trading’ to test in court action
Biotech executive Matthew Panuwat bought options on stock of another company he was not privy to inside information about. Was it insider trading?
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Insider trading and misled investors in the weekly SEC charges roundup
In this week’s roundup there are cases of insider trading, more schemes to defraud investors, recordkeeping failures, and the failure to disclose perks and payments.
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SEC tables five major rule change announcements
Chair Gary Gensler says proposals aim to boost investor and trader protection and enhance opportunity.