The Design, Implementation and Oversight of 10b5-1 Plans
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For public companies, the subject of insider trading by executives and independent directors has become a very important issue based on recent SEC action and extensive coverage by The Wall Street Journal. In this week’s episode of The Boardroom Video Series, Dan Daly is joined by Carl Metzger, a Senior Partner at the law firm Goodwin Procter. They discuss the origin and intent of the relevant SEC Rule 10b5-1 along with what senior managers and the board should know about the design, implementation and use of these plans.
- Why simply having the plan is not enough.
- Increased regulatory scrutiny and media coverage.
- The impact of an investigation on you, your company and its stock.
- Perception vs. intent from an SEC viewpoint.
- “Material information” and “trading on the basis thereof.”
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