Press Releases

Rule 10b5-1 Stock-Trading Plans: Experts To Reveal Key Guidance In Webinar On Oct. 20

Oct. 13, 2021 — Not all insider trading is intentional. Corporate insiders can inadvertently commit insider trading and get into serious trouble for buying or selling company stock even if the important confidential information they know did not influence their decision to trade. Because of this, many companies now require or strongly encourage their executives, directors, and key employees to set up Rule 10b5-1 trading plans for their company stock. A 10b5-1 plan is a prearranged stock-trading plan under SEC Rule 10b5-1 that provides a defense against charges of insider trading if you set it up when you do not know confidential, important information about your company, among other requirements., the leader in online educational resources for stock options, restricted stock/RSUs and ESPPs, is holding a special webinar about Rule 10b5-1 trading plans on October 20, 2021 (2pm–3:40pm ET, 11am–12:40pm PT). The webinar will offer crucial guidance for corporate insiders and their financial advisors on fundamentals, best practices, and most effective designs for Rule 10b5-1 trading plans.

In 100 minutes, this webinar will feature top legal and financial experts presenting practical guidance and real-world case studies. Their insights and expertise apply to employees, executives, and directors at all types of companies: private companies; recently public companies via IPO, SPAC acquisition, or direct listing; or long-time public corporations.

"Advisors with executives, directors, and key insider employees need to know how to use 10b5-1 plans to maximize their clients' wealth in company shares, stock options, and restricted stock/RSUs while protecting them from insider-trading charges," says webinar moderator Bruce Brumberg, the editor-in-chief of myStockOptions. "In this webinar, they can acquire that knowledge and also get a solid grounding in other key SEC requirements, including Rule 144, Section 16, rules restricting or permitting share liquidity, and insider trading." also has a comprehensive website section about all aspects of SEC law, including Rule 10b5-1 plans and insider trading.

Webinar Details & Registration

10b5-1 Trading Plans And Other SEC Rules Advisors Need To Know
Oct. 20, 2021
2pm–3:40pm ET, 11am–12:40pm PT

Webinar Panelists

  • Rich Baker, Exec. Director, Morgan Stanley Executive Financial Services
  • Megan Gorman, Founder, Chequers Financial Management
  • Michael Andresino, Partner, Arent Fox LLP
  • Bruce Brumberg (moderator), Editor-in-Chief of myStockOptions

Webinar Agenda

  • What a 10b5-1 trading plan is and why/when your clients need one
  • Best practices for designing and structuring a plan to meet client goals
  • Process and mechanics for creating and implementing a plan
  • How to explain 10b5-1 trading plans to clients
  • Hot spots that could trigger SEC scrutiny
  • Proposed SEC changes in 10b5-1 requirements and what to do about them now
  • SEC and company insider-trading rules advisors must know
  • Rule 144
  • Section 16 (and insider reporting on Forms 3, 4, and 5)
  • How to use information in these SEC filings to better prospect for high-net-worth executive clients
  • How to prevent executives and directors from losing their trading profits by violating short-swing-profit rules
  • Liquidity timeline under SEC rules for when clients can sell their stock: private company to IPO or acquisition
  • Case studies

Continuing Education Credits

The webinar offers 2.0 CE credit hours for:

  • Certified Financial Planners (CFPs)
  • CPWA and CIMA certifications from the Investments and Wealth Institute
  • Certified Equity Professionals (CEPs)


With exclusive articles, 800+ FAQs, podcasts, videos, the Tax Center, interactive quizzes, the Learning Center with courses for CE credit, Global Tax Guide, extensive glossary, smartphone app for iOS and Android devices, and dynamic patented tools, is the premier online resource of educational content and tools on stock options, restricted stock, restricted stock units, performance shares, stock appreciation rights, and employee stock purchase plans. is run by leading experts in equity compensation. Its content is created by a company with a long history of successful multimedia publications explaining complex legal and financial subjects in plain English.

For more information, please contact Bruce Brumberg and Matt Simon at or 617-734-1979.

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