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ARTICLE · 22 DECEMBER 2022

SEC Issues Tougher Insider Trading Rules For Executives

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On December 14, 2022, the U.S. Securities and Exchange Commission ("SEC") unanimously voted to adopt amendments to Rule 10b5-1 plans, adding new disclosure requirements...

United StatesCorporate/Commercial Law
Danielle Giffuni
Danielle Giffuni
Daniel L. Zelenko
Daniel L. Zelenko
Michael D. Mann
Michael D. Mann

SEC Seeks to Crack Down on Insider Trading Abuses by Corporate Executives with the Adoption of New Disclosures and Trading Restrictions

On December 14, 2022, the U.S. Securities and Exchange Commission ("SEC") unanimously voted to adopt amendments to Rule 10b5-1 plans, adding new disclosure requirements aimed at curtailing abuses of insider trading by corporate executives. The proposed amendments were first introduced in January 2022 to help fill perceived regulatory gaps in the rule as originally written and require more transparency around trading by company insiders. The final amendments, which are the first since the rules' adoption in 2000, are intended to prevent executives from putting a plan in place, and immediately trading in circumstances where they had access to confidential information.

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