Gary Brown

Nelson Mullins Riley & Scarborough LLP

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Latest Posts › Insider Trading

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To be or not to be a “non-Rule 10b5-1 trading arrangement” – that is the question!

A “Rule 10b5-1 plan” is intended to satisfy the affirmative defense provided in Rule 10b5-1(c), the rule that provides an affirmative defense to an allegation of having traded on the basis of material nonpublic information...more

2/16/2023 / 10b5-1 Plans , Affirmative Defenses , Insider Trading , Material Nonpublic Information , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Regulation

It’s More Than 10b5-1 – a Lot More – and You Need to Get Ready

You probably have heard or read about the SEC’s adoption, on Dec. 14, 2022, of amendments to Rule 10b5-1. That rule provides an affirmative defense to insider trading liability under Section 10(b) of the Exchange Act and Rule...more

1/10/2023 / 10b5-1 Plans , Corporate Governance , Disclosure Requirements , Insider Trading , Non-Public Information , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Transactions

The Latest News Affecting the Capital Markets

Quick Hitters - On December 15, 2021, the SEC (i) proposed amendments to address “potentially abusive practices” by corporate insiders related to 10b5-1 trading arrangements, grants of options and other similar equity...more

12/24/2021 / 10b5-1 Plans , Capital Markets , Capital Raising , Insider Trading , Libor , Nasdaq , No-Action Requests , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Regulation

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