Tag: 10b5-1

Brokers Compliance

SEC Chair Gensler Seeks to Amend 10b5-1

The new SEC chair believes that 10b5-1 plans “have led to real cracks in our seclaw.com/glossary/insider-trading/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>insider trading regime” and has asked the SEC Staff to make recommendations for the Commission’s consideration on how they might “freshen up” Rule 10b5-1. In his comments to the CFO Network Summit, he made a […]