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Proposed Rules 10b5-1 Plans Securities Regulation

BCLP

SEC Staff Updates Rule 10b5-1 Interpretations

BCLP on

The SEC staff recently published updates to its interpretations (CDIs) for Rule 10b5-1 – the insider trading exemption for pre-established trading plans....more

Cadwalader, Wickersham & Taft LLP

SEC Adopts Tougher Trading Rules for Corporate Insiders

On January 13, 2022, the Securities and Exchange Commission (the “SEC”) proposed several rule and form amendments to address potentially abusive practices relating to the use of Rule 10b5-1 plans, grants of options and other...more

Goodwin

SEC "Gift" to the Industry: Four Market Structure Proposals, 3-2 Votes (In Part), but No Partridge in a Pear Tree

Goodwin on

On December 14, 2022, the SEC proposed four separate equity market structure rulemakings, each of which, if adopted, will have significant effects on the markets and various industry participants. While designed to address...more

Akin Gump Strauss Hauer & Feld LLP

New Proposed Rules Affecting 10b5-1 Trading Plans and Share Repurchase Programs

On December 15, 2021, the SEC proposed amendments regarding Rule 10b5-1 trading plans and share repurchase programs. The SEC proposed rules are intended to diminish information asymmetry between public companies and investors...more

Proskauer Rose LLP

SEC Proposes Large Security-Based Swaps Position Reporting Rules, Re-Proposes Anti-Fraud Rules

Proskauer Rose LLP on

On December 15, 2021 the Securities and Exchange Commission proposed new rules requiring that large positions in security-based swaps and related securities be reported to the commission and publicly disseminated. At the same...more

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