News & Analysis as of

Securities and Exchange Commission (SEC) 10b5-1 Plans Executive Compensation

Fenwick & West LLP

SEC updates CDIs on Rule 10b5-1 plans, clawbacks, and de-SPAC transactions

Fenwick & West LLP on

On April 25, the SEC staff added two new Compliance and Disclosure Interpretations (CDIs), revised 20 CDIs and withdrew three CDIs related to 10b5-1 plans. The SEC staff largely revised the CDIs to conform to the 2022 Rule...more

Snell & Wilmer

2023 End of Year Plan Sponsor “To Do” List (Part 4) Executive Compensation

Snell & Wilmer on

As 2023 comes to an end, we are pleased to present our traditional End of Year Plan Sponsor “To Do” Lists. This year, we present our To Do Lists in four separate SW Benefits Updates. Part 1 covered health and welfare plan...more

Latham & Watkins LLP

Recent Developments for Directors - February 2023

Latham & Watkins LLP on

SEC Amends Trading Plan Rule, Requires More Disclosure for Insider Trading Amended - Rule 10b5-1 for trading plans takes effect on February 27, 2023. The amended rule adds new conditions to the affirmative defense against...more

Latham & Watkins LLP

Key Compensation Items for the 2023 Proxy Season and Beyond - January 2023

Latham & Watkins LLP on

Each year brings new executive compensation rules and considerations, whether based on Securities and Exchange Commission (SEC) rules, developments under the Internal Revenue Code, litigation trends, institutional adviser...more

Nelson Mullins Riley & Scarborough LLP

Rule 10b5-1 Amendments Adopted by the SEC

The SEC has unanimously adopted amendments to Rule 10b5-1, stemming from rules originally proposed in January 2022. The amendments include, among other things, new conditions to the availability of the 10b5-1 affirmative...more

Stinson - Corporate & Securities Law Blog

SEC Adopts Final Rule on 10b5-1 Plans

The SEC has adopted final amendments to Rule 10b5-1 under the Securities Exchange Act of 1934. The amendments: Add new conditions to the availability of the affirmative defense under Exchange Act Rule 10b5-1(c)(1),...more

Katten Muchin Rosenman LLP

Capital Markets Compass | Issue 2

Capital Markets Compass covers the latest developments in the capital markets, public company, and corporate governance worlds. ...more

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