Rule 10b5-1 Trading Plans | Practical Law

Rule 10b5-1 Trading Plans | Practical Law

This Note discusses trading plans established under Rule 10b5-1 (Rule 10b5-1 trading plans) of the Securities Exchange Act of 1934, as amended. This Note summarizes the elements of a Rule 10b5-1 trading plan and explains how it can be used as an affirmative defense against potential insider trading liability.

Rule 10b5-1 Trading Plans

Practical Law Practice Note 3-523-9943 (Approx. 19 pages)

Rule 10b5-1 Trading Plans

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
This Note discusses trading plans established under Rule 10b5-1 (Rule 10b5-1 trading plans) of the Securities Exchange Act of 1934, as amended. This Note summarizes the elements of a Rule 10b5-1 trading plan and explains how it can be used as an affirmative defense against potential insider trading liability.