SEC Adopts Amendments to Rule 10b5-1 Insider Trading Plans

POSTED ON January 14, 2023 BY Bill Dillhoefer

Rule 10b5-1 trading plans are prearranged plans for selling and/or buying company stock under SEC rules. This provides an affirmative defense against charges of insider trading if the employee trades stock while they possess Material Nonpublic Information (MNPI). Many companies now either require or strongly encourage their executives and key employees to set up 10b5-1 […]

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Survey Indicates that Stock Plan Participants Need More Than Education

POSTED ON March 22, 2022 BY Bill Dillhoefer

The Morgan Stanley at Work 2021 Annual Stock Plan Participant Survey contained a number of notable findings regarding equity compensation programs and recipients including: Most respondents (75%) feel confident in their ability to access their stock plan account online, but only half (52%) understand how to sell their company shares. 66% aren’t confident that they […]


Analysis of Rule 10b5-1 Proposed Changes

POSTED ON February 9, 2022 BY Bill Dillhoefer

From the NASPP blog by Jennifer Namazi. The SEC has proposed an overhaul of Rule 10b5-1 plans. NASPP Executive Director Barbara Baksa recently caught up with John Jenkins, Senior Editor of CCRcorp, to discuss thoughts on the draft legislation. John and Barbara cover many of the proposed Rule 105-1 changes in the podcast episode Half Empty […]


Press Release: Adds Equity Compensation Tax Planning

POSTED ON November 28, 2021 BY Bill Dillhoefer

Bend, OR, November 29, 2021 –, the wealth management industry’s leading application for providing clients with sophisticated equity compensation guidance now includes multi-year tax and cash flow modeling functionality.  In addition to’s equity compensation valuation and risk analytics, advisors can now model diversification strategies over a 10-year horizon that provide detailed tax, cash flow […]


Press Release: StockOpter Redesigned to Simplify Equity Compensation Planning

POSTED ON December 1, 2020 BY Bill Dillhoefer

Bend, OR, December 1, 2020 –, the industry leading application for equity compensation valuation and risk analysis has been completely redesigned and enhanced. This new version of StockOpter is now available making it easier than ever for advisors to analyze client company stock and option holdings and provide professional guidance. Initially released in 2008, […]


Press Release: StockOpter Adds 10b5-1 Trading Plan Tracking

POSTED ON February 12, 2020 BY Bill Dillhoefer

Bend, OR, February 12, 2020 –, the industry leading application for equity compensation valuation and risk analysis has been enhanced to track client 10b5-1 trading plans. These trading plans established under SEC Rule 10b5-1 provide an affirmative defense against charges of insider trading because they are setup before the employee knows information that may […]


Trends in Private Company Stock Plans and How They Effect Advisors

POSTED ON March 7, 2019 BY Bill Dillhoefer

According to a recent post by Barbra Baksa of the National Association of Stock Plan Professionals, a soon to be released NASPP’s survey on equity compensation at private companies found the following five trends: #1: Stock options are the equity vehicle of choice, with 74% of respondents granting them. #2: Private companies are committed to […]

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Equity Compensation Recipients Want to Avoid Mistakes, Here’s How Advisors Can Help!

POSTED ON February 28, 2018 BY Bill Dillhoefer

IMAGE: Hiva Sharifi/Unsplash While the majority of workers view their equity compensation as a critical tool for building long-term wealth, a recent survey from Schwab Stock Plan Services found that, out of the one-thousand equity compensation recipients surveyed, a mere twenty-four percent had exercised options or sold shares. With over a third of the participants […]


Continuing Education Credit for Stock Plan Advisors

POSTED ON October 10, 2017 BY Bill Dillhoefer

Need continuing education credits? In its Learning Center, offers continuing professional education for a few different certifications: Certified Financial Planners (CFP) Certified Private Wealth Advisors (CPWA) Certified Investment Management Analysts (CIMA) Certified Equity Professionals (CEP) In total, the Learning Center offers: 15 continuing education credits for CFPs (50% of the total requirement) 15 […]