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Risk Mitigation Securities and Exchange Commission (SEC) Proposed Amendments

Pillsbury Winthrop Shaw Pittman LLP

SEC Proposes Broad Amendments to Longstanding Rule 10b5-1 Protections

As 2021 comes to a close, Chair Gensler caps an ambitious inaugural year by proposing sweeping changes to the availability of Rule 10b5-1 trading plans. The proposed amendments—in which all five Commissioners joined—are...more

Miller & Martin PLLC

SEC Proposes to Require Business Continuity Plan

Miller & Martin PLLC on

On June 28, 2016, the Securities and Exchange Commission ("SEC") issued a proposed rule (Rule 206(4)-4, with proposed amendments to Rule 204-2) which would require SEC-registered investment advisers to adopt and implement...more

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