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SEC Adds 10b5-1 Guidance for 401(k) Plans with Company Stock Investment Options
Haynes Boone 
[Guidance Overview] May 8, 2025 "The SEC's Division of Corporation Finance recently added a new Exchange Act Compliance and Disclosure Interpretation (CDI) clarifying that when a participant in a Section 401(k) plan who is subject to the insider trading rules sells company stock through a self-directed brokerage window, the sale must satisfy all conditions of Rule 10b5-1(c)(1), including those applicable to purchases and sales of the issuer's securities on the open market." MORE >> |
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