How Executives And Directors Can Avoid SEC Troubles Before Trading Their Company Stock (Part 2)

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SEC Law: Section 16

How Executives And Directors Can Avoid SEC Troubles Before Trading Their Company Stock (Part 2) This is premium content

Merrill Freed and Steven Schraibman

Your advisors say now is the time to buy or sell your company stock or to exercise options. But before you proceed, you'd better understand the securities laws that apply. Part 1 focused on insider trading and Rule 10b5-1 plans. This article looks at other pitfalls of securities law, including short-swing-profits violations under Section 16(b), and required SEC filings, such as Form 4 and Form 144.

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