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Tag: Rule 10b5-1

Swiss Army knife as multi-use tool

SEC Uses ‘Swiss Army’ Statute in $25 Million Fine for Violations on Stock Buybacks

Swiss Army knife as multi-use tool

Companies that alter their trading plans outside guidelines authorized by their boards should beware of the risk of heightened regulatory scrutiny from the Securities and Exchange Commission. The agency on November 14 announced that Charter...

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Study Highlights Problematic “Insider Giving”

Study Highlights Problematic “Insider Giving”

Study Highlights Problematic “Insider Giving”

You’ve heard of insider trading in which people buy or sell securities based on information that isn’t available to the public. But what about “insider giving?” According to a new study, it’s all the rage. Unlike insider trading, insider gi...

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