Account

Sign in to access your account and subscription

Tools

tools icons

Law.com
Compass

tools icons

tools icons

tools icons

China Law &
Practice

tools icons

Legal
Dictionary

Back to LawJournalNewsletters.com

10b5 -1 Plan Abuse

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.

27 minute read August 28, 2007 at 01:20 PM

By

J. David Washburn, Spencer C. Barasch And Christopher McRorie

10b5 -1 Plan Abuse

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 premium content is locked for LawJournalNewsletters subscribers only

ENJOY UNLIMITED ACCESS TO THE SINGLE SOURCE OF OBJECTIVE LEGAL ANALYSIS, PRACTICAL INSIGHTS, AND NEWS IN LawJournalNewsletters

Stay current on the latest information, rulings, regulations, and trends
Includes practical, must-have information on copyrights, royalties, AI, and more
Tap into expert guidance from top entertainment lawyers and experts

Already have an account? Sign In Now

For enterprise-wide or corporate access, please contact Customer Service at [email protected] or call 1-877-256-2473.

NOT FOR REPRINT

© 2026 ALM Global, LLC, All Rights Reserved. Request academic re-use from www.copyright.com. All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.

Continue Reading

Catching Up With the Copyright Royalty Board At the D.C. Circuit

The Copyright Royalty Board (CRB), which works under the umbrella of the Librarian of Congress, sets statutory-license royalty terms and rates. The U.S. Courts of Appeals for the D.C. Circuit recently issued two notable decisions about the CRB.

October 01, 2026

For Encrypted Data, “Q-Day” Is Coming — Here Are Seven Steps to Prepare

As quantum machines become more powerful, today’s uncrackable encryption schemes may become trivial to break. Opinions vary as to how soon that moment, so-called “Q Day,” will arrive, but the threat is real.

October 01, 2026

When AI Agents Trigger a Crisis: The New Communications Playbook

How do you communicate when you know the harm before you know its cause? For law firms, it comes up both when advising a client and when explaining an incident of their own.

October 01, 2026

Law Firms Collect About 82 Cents on the Dollar — The Rest Is An Architecture Problem

The gap between what a firm bills and what it collects is not a collections failure. It is a design flaw in how the whole revenue cycle is wired, and clients armed with AI are now exploiting it faster than firms can respond.

October 01, 2026

© Copyright 2026 ALM Global, LLC trading as Centellic.

Advertise with Us Customer Support Terms of Service