Rule 10b5-1 Trading Plans: Recent Enforcement Developments and Takeaways

Margot Laporte, a Government Solutions & Investigations Partner, authored an article in LexisNexis. The article explores recent enforcement actions by the U.S. Department of Justice (DOJ) and U.S. Securities and Exchange Commission (SEC) and related takeaways regarding the use of a securities trading plan under Rule 10b5-1 (Rule 10b5-1 Plan) of the Exchange Act of 1934, as amended (Exchange Act Rule 10b5-1).

Read the full article on LexisNexis. (A subscription is required)