Center On Executive Compensation

The SEC’s Insider Trading and 10b5-1 Plan Rule:...

Published on: January 10, 2023

Authors: Ani Huang

In light of the SEC’s final rules on 10b5-1 Plans, the Center has developed The SEC’s Insider Trading and 10b5-1 Plan Rule: A Compliance Guide intended to help Center members understand the complex technical and disclosure requirements as well as potential external ramifications of such disclosures.

The guide includes a summary of each of the four components of the regulation:

  • 10b5-1 plan provisions;
  • Disclosure of plans and insider trading policies;
  • Disclosure of option grants; and
  • Increased requirements for filing Forms 4 and 5.

In addition, the guide discusses potential implications of the new rules for the CHRO, Compensation Committee and Corporate Secretary as well as recommended next steps for consideration to ensuring compliance.

We hope you find the guide a useful resource for your team. The Center staff is available to help with any questions you may have about this information. Please don’t hesitate to reach out to any one of us!

Ani Huang

President and CEO, Center On Executive Compensation

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