Rule 10b5-1 Insider Trading Plans: Increased DOJ Emphasis Checklist

In a recent development in the prosecution by the U.S. Department of Justice (DOJ) of the misuse of Rule 10b5-1 plans, the DOJ brought insider trading charges against an executive based on the filing of a 10b5-1 plan, which DOJ alleged was a cover for illicit trading. Use this checklist to integrate key takeaways from the government's new approach to suspected insider trading violations for your clients’ Rule 10b5-1 trading plans.

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Related Content

• Rule 10b5-1 Plans
  Read about the purpose of these plans, drafting and reviewing them, and relevant disclosures.

• 10b5-1 Plans Best Practices Checklist
  Develop and implement a Rule 10b5-1 trading plan using these steps.

• Securities Fraud and Insider Trading Policy
  Provide trading guidelines to the employees, officers, and directors of a public company.

• Insider Trading Policies
  Understand the structure of these policies, the lawyer’s role in drafting them, and implementation.

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