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 […]


How Advisors Can Help Clients with 10b5-1 Trading Plans

POSTED ON October 12, 2022 BY Bill Dillhoefer

Financial advisors with executive clients that receive employer stock and option grants need to understand 10b5-1 trading plans. The following 10b5-1 Overview from the Blog provides an introduction to these trading plans. However, in addition to understanding the basics, advisors also need to be able to identify appropriate exercise and sell price targets and […]


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 […]

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10b5-1 Plan Best Practices for any Market Climate

POSTED ON May 19, 2020 BY Bill Dillhoefer

Now that provides 10b5-1 trading plan tracking, this recent NASPP blog post caught my eye. StockOpter’s functionality tracks individual 10b5-1 plans for company insiders. This article explains four best practices issuer companies should consider to make their 10b5-1 programs more effective. by Jenifer Namazi Rule 10b5-1 trading plans are one of the tools that […]