Corporate Defense and Disputes

Important developments in U.S. securities law, white collar criminal defense, regulatory enforcement and other emerging issues impacting financial services institutions, publicly traded companies and private investment funds

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SEC Adopts Amendments to Rule 10b5-1 and Related Disclosure Requirements

By Louis Rambo, Frank Zarb and Ian S. Ludd on Posted in Mergers & Acquisitions, Private Investment Funds, Securities Law, Securities Regulatory
On December 14, 2022, the SEC adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 and added related new disclosure requirements. Rule 10b5-1 provides an affirmative defense to insider trading liability for individuals and companies in circumstances where, subject to certain conditions, the trade was pursuant to a written plan adopted when … Continue Reading
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