10b5-1 Trading Plans & Other SEC Rules Advisors Must Know

myStockOptions.com

Understanding the SEC rules and securities laws that apply to equity comp and company stock is as important as knowing the tax treatment. The wonderful financial advice and planning that you give clients for diversification sit atop both SEC and company rules on stock trading.

In this webinar, learn fundamentals and mechanics of Rule 10b5-1 trading plans, related SEC rules, best practices, and most effective designs for executives and employees who want to regularly sell stock to meet financial goals and diversify but know material nonpublic information about their company.

Get crucial insights on the SEC's rules for 10b5-1 plans and the impact of the amended rules that became effective in 2023. The webinar will also provide a solid grounding in other key SEC topics, including Rule 144, Section 16, the rules restricting or permitting share liquidity, and the laws of insider trading.

In 100 minutes, top legal and financial experts will present practical guidance and real-world case studies for financial advisors. Their insights and expertise apply to employees and executives at all types of public and private companies. Discover how to use these plans to maximize client wealth in company shares, stock options, and restricted stock/RSUs while protecting clients from insider-trading charges.

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