Tag: 10b5-1
SubscribeExecs’ 10b5-1 Plans Reportedly at Heart of Silicon Valley Bank Investigation
What did Silicon Valley Bank executives know, and when did they know it? Ever since the financial institution of choice for venture capital-backed startups went bust on March 10, talk in the media and around Washington has focused on the po...
Read MoreFeds Issue First Indictment Related to 10b5-1 Plans
After months of signaling a crackdown was coming, the federal government has broken new ground by issuing its first indictment against an executive, based solely on the use of so-called 10b5-1 plans. A quick refresher: Rule 10b5-1 of the Se...
Read MoreSEC Readies Changes to 10b5-1 Plans
Regardless of whether you agree with Securities and Exchange Commission Chair Gary Gensler’s views on policy, you can’t argue against his ability to get things done. Since he took over at the agency, the SEC has acted on hot-button issues l...
Read MoreSEC Proposes Stricter Rules on 10b5-1 Plans and Stock Buybacks
Back in August, we told you about the unvarnished disdain Securities and Exchange Commission Chair Gary Gensler showed for so-called 10b5-1 plans. These plans enable corporate executives to create schedules for trading stocks in the future....
Read MoreSEC Digs in on Insider Trading Enforcement
Low-level employees at a high-flying tech company team up with their buddies to make millions off illicit stock trades by exchanging corporate secrets. It sounds like the kind of story Netflix might turn into an episode of its documentary s...
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