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SEC Adopts New Insider Trading Rules and Protection for Prearranged Trades

John H. Sturc (Partner at Gibson, Dunn & Crutcher LLP in Washington, D.C.)
Ronald O. Mueller (Partner at Gibson, Dunn & Crutcher LLP in Washington, D.C.)
Amy L. Goodman (Counsel at Gibson, Dunn & Crutcher LLP in Washington, D.C.)
Gillian McPhee (Associate at Gibson, Dunn & Crutcher LLP in Washington, D.C.)

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 1 March 2000

Abstract

This article delves into the new rules concerning insider trading and protection for prearranged trades, which were adopted at the same time Regulation FD was adopted. This starts with the basics of 10 b‐5 insider trading and then it moves into the specifics and the application of the new rules. This is also a discussion of affirmative defenses available for trading plan.

Citation

Sturc, J.H., Mueller, R.O., Goodman, A.L. and McPhee, G. (2000), "SEC Adopts New Insider Trading Rules and Protection for Prearranged Trades", Journal of Investment Compliance, Vol. 1 No. 3, pp. 54-63. https://doi.org/10.1108/eb045887

Publisher

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MCB UP Ltd

Copyright © 2000, MCB UP Limited