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SEC and DOL Rules on Insider Trading During Blackout Periods (PDF)
Pillsbury Winthrop LLPLink to more items from this source
Dec. 12, 2002
5 pages; Dec. 9, 2002. Excerpt: In this Client Alert, we will examine (1) the Proposed Rules issued by the Securities and Exchange Commission (SEC), which clarify the application of Section 306(a) of the [Sarbanes-Oxley] Act, and (2) the Interim Final Rules adopted by the Department of Labor (DOL), which provide guidance on the timing and content of the notice required under Section 306(b) of the Act.

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