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10b5-1 Trading Plans And Other SEC Rules Advisors Need To Know

Oct. 20, 2021
Recorded Online

Learn the fundamentals, best practices, and most effective designs for Rule 10b5-1 trading plans. Discover how to use these plans to maximize your clients' wealth in company shares, stock options, and restricted stock/RSUs while protecting them from insider-trading charges. Plus, get a solid grounding in other key SEC requirements, including Rule 144, Section 16, rules restricting or permitting share liquidity, and insider trading.

In 100 minutes, this webinar features top legal and financial experts presenting practical guidance and real-world case studies for financial advisors. Their insights and expertise apply to employees and executives at all types of companies: private companies; recently public companies via IPO, SPAC acquisition, or direct listing; or long-time public corporations.


  • What a 10b5-1 trading plan is and why/when your clients need one
  • Best practices for designing and structuring a plan to meet client goals
  • Process and mechanics for creating and implementing a plan
  • How to explain 10b5-1 trading plans to clients
  • Hot spots that could trigger SEC scrutiny
  • Proposed SEC changes in 10b5-1 requirements and what to do about them now
  • SEC and company insider-trading rules advisors must know
  • Rule 144
  • Section 16 (and insider reporting on Forms 3, 4, and 5)
  • How to use information in these SEC filings to better prospect for high-net-worth executive clients
  • How to prevent executives and directors from losing their trading profits by violating short-swing-profit rules
  • Liquidity timeline under SEC rules for when clients can sell their stock: private company to IPO or acquisition
  • Case studies

More Information, How to Register

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