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December 27, 2022
The SEC adopted amendments to Rule 10b5 1. Section 16 reporting persons will be required to comply with the amendments to Forms 4 and 5 for beneficial ownership reports filed on or after April 1, 2023. Companies should assess the impact on their insider trading policies.
November 22, 2022
As the SEC mulls its 10b5-1 proposal (see this PubCo post), neither its Enforcement Division nor the DOJ are waiting around to see what happens. According to Bloomberg,...
November 21, 2022
As the SEC mulls its 10b5-1 proposal (see this PubCo post), neither its Enforcement Division nor the DOJ are waiting around to see what happens. According to Bloomberg, they are using...
December 22, 2021
This month, the California Health Care Foundation (CHCF) published a research report titled “Using Data for Good: Toward More Equitable Home and Community-Based Services in Medi-Cal.”
July 24, 2021
To embed, copy and paste the code into your website or blog: Recent warnings from the US Securities and Exchange Commission ("SEC") and the US Congress could translate into more aggressive scrutiny of trading plans adopted pursuant to Rule 10b5-1 of the Securities and Exchange Act of 1934 ("Exchange Act"). In a speech delivered on June 7, 2021, SEC Chair Gary Gensler identified several "cracks" in Rule 10b5-1 trading plans that could allow for insider trading. 1 A few days later, the SEC releas...