Changes Ahead: Rule 10b5-1 Trading Plans and Related Company Disclosure Obligations

In mid-December 2021, the SEC proposed amendments to Rule 10b5-1 under the Securities Exchange Act to add new conditions to the availability of the affirmative defense under the rule. Winston & Strawn attorneys Joseph Adams, David Sakowitz, and Kevin Smith explore these new regulations in our Benefits Blast blog.

Winston & Strawn has extensive experience counseling clients in all aspects of SEC compliance, reporting and filing requirements, securities offerings, compliance with stock exchange listing standards, Sarbanes-Oxley (SOX) compliance, the role of boards of directors, board governance best practices, and other corporate governance issues. An active member of clients’ day-to-day securities and corporate governance teams, we help clients meet the changing and increasingly complex corporate governance landscape.