12/17/2021 12:40:44 AM SEC Floats Tougher Rules By Joel I. Papernik The SEC is proposing changes that would impose additional conditions on 10b5-1 plans. As noted, if adopted, users of the plans would be...
8/12/2021 10:16:09 PM Executive Stock Sales Are Under Scrutiny. Here’s What Regulators Are Interested In. By Joel I. Papernik The regulators have made it clear that they are revisiting Rule 10b5-1 Executive Stock Sale Plans with a view of “tightening” them up. ...