in
Advanced Search
transcript   Transcript

10b5-1 Trading Plans and Insider Trading Under the Spotlight: Key Issues Companies and Executives Must Consider 2013 (Audio-only)

Recorded on: Feb. 7, 2013
Running Time: 01:03:40

Full Transcript:


Transcripts of selected programs may be accessed by Privileged Members. If you are a member, please log in. If you are not a member, please consider having your firm join. Or become an Individual Member.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

Taken from the briefing 10b5-1 Trading Plans and Insider Trading Under the Spotlight: Key Issues Companies and Executives Must Consider recorded January, 2013.

A recent front page article in the Wall Street Journal entitled “Executives’ Good Luck in Trading Own Stock” reported that, based on the review of thousands of trades by corporate insiders, many executives appear to have done suspiciously well buying and selling their companies’ stocks under Securities Exchange Act Rule 10b5-1 trading plans.  The Journal article, and a more intense focus by regulators and prosecutors on insider trading matters generally, has put Rule 10b5-1 trading plans back under the spotlight, likely subjecting them to increased scrutiny by regulators, prosecutors and shareholders alike.

Lecture Topics [Total Time: 01:03:40]

  • Background on Rule 10b5-1
  • "Possession vs. Use" under Rule 10b5-1
  • Recent studies and media coverage regarding 10b5-1 trading plans and related trading activity by corporate insiders
  • Recent enforcement cases involving 10b5-1 issues and trading plans
  • Potential pitfalls with 10b5-1 plans and how to avoid them

Presentation Material

  • Client Update: Insider Trading Plans in Spotlight Again (Handout)
    Matthew E. Kaplan, Jonathan R. Tuttle
  • 10b5-1 Trading Plans Under the Spotlight (PowerPoint Slides)
    Matthew E. Kaplan, Jonathan R. Tuttle
Speaker(s)
Matthew E. Kaplan ~ Debevoise & Plimpton LLP
Jonathan R. Tuttle ~ Debevoise & Plimpton LLP
Print Share Email
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.
  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.
  • Can I get CLE credit?
    Yes, you can get CLE credit by watching the full web segment and your time will be tracked in six minute intervals (like any other PLI Web Segment). Please note: CLE credit will not be granted for only reading the transcript.
  • FOLLOW PLI:
  • RSS
  • facebook
  • twitter

All Contents Copyright © 1996-2013 Practising Law Institute. Continuing Legal Education since 1933.