Kathryn Marie Throo

Kathryn Marie Throo

Foley & Lardner LLP

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Gensler Identifies Insider Trading Plans and Equity Trading Rules as Areas of SEC Focus

This week, SEC Chair Gary Gensler identified Rule 10b5-1 stock trading plans and equity trading rules as fresh areas of regulatory focus for the SEC. Gensler mentioned these areas during prepared remarks at the CFO Network...more

6/14/2021  /  Affirmative Defenses , Enforcement Actions , Equity Markets , Good Faith , Insider Trading , Nasdaq , NYSE , Penny Stocks , Securities and Exchange Commission (SEC) , Trading Policies
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