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Category Archives: SEA Rule 10b5-1 Plans

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WHAT IS HAPPENING WITH SECURITIES EXCHANGE ACT OF 1934 RULE 10b5-1 PLANS?

Posted in Insider Trading, SEA Rule 10b5-1 Plans, SEC Enforcement

The SEC has announced it is monitoring if there is abuse of so-called Securities Exchange Act of 1934 Rule 10b5-1 stock trading plans.  The SEC stated that it will monitor the situation, and, if it finds that there is abuse, the SEC will consider action, especially if it is a high level executive.  The SEC… Continue Reading