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The Corporate CounselorLJN NewslettersNewsSections

10b5 -1 Plan Abuse

By J. David Washburn, Spencer C. Barasch and Christopher McRorie

The latest hot topic in corporate executive abuses may be manipulation of trades under prearranged trading plans established pursuant to Rule 10b5-1. Little has been said about the red flags that could indicate abuse of 10b5-1 plans. This article attempts to offer some practical guidance to corporate counsel to ensure that their 10b5-1 plans steer clear of SEC enforcement scrutiny.

D'j' vu

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