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

Before you sell company stock or exercise options, you must understand the securities laws that apply to you. Part 1 of this series focused on insider trading and Rule 10b5-1 plans. This article looks at other pitfalls of securities law, including Section 16(b) violations involving short-swing profits, and at required SEC filings, such as Form 4 and Form 144.

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