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Corporate & Securities Law

: Jim Hamilton's World of Securities Regulation

By James Hamilton

SEC Examining Possible Abuse in Rule 10b5-1 PlansAs a result of academic studies suggesting that Rule 10b5-1 plans may be being abused, the SEC staff is looking into the situation to make sure that people are not doing here what they were doing with stock options. If executives are in fact trading on inside information, noted Enforcement Director Linda Chatman Thomsen, the plan will provide no defense.Rule 10b5-1 plans allow corporate executives to make a plan, at a time when they are not in pos read more

Full post as published by Jim Hamilton's World of Securities Regulation on December 18, 2007 (boomark / email).