Tax errors can be costly! Don't draw unwanted attention from the IRS. Our Tax Center explains and illustrates the tax rules for sales of company stock, W-2s, withholding, estimated taxes, AMT, and more.
SEC Law
In this section, learn how to avoid insider trading with stock grants and how to comply with other securities laws.
Basics and Insider Trading cover the fundamental securities law that pertains to anybody who owns stock. Rule 10b5-1 Trading Plans explains the prearranged trades you can create to minimize your risk of insider-trading violations. Executives and directors must know the requirements discussed in Rule 144 and Section 16.
Don't become a mugshot. Trading company stock, or tipping others to buy or sell it, can get you into serious legal trouble when you know important confidential information about your employer or other companies you work with. This article explains how to avoid insider trading.
Executives and key employees with equity comp must sell company shares to meet financial goals but also need to avoid insider trading. A prearranged Rule 10b5-1 trading plan for automatic, periodic buying and selling can offer protection. This article has insights from experts on how to use these plans safely and effectively.
SEC rules, company insider-trading policies, and fears of insider-trading allegations may make stock sales tricky for corporate insiders. Rule 10b5-1 trading plans offer a potential solution, but they must be properly drafted and implemented.
Podcast included! An often underestimated danger companies face is the risk that an executive or employee may violate corporate, tax, or securities laws. This article series outlines practices for executives to help them avoid compliance problems, and explains the possible penalties of noncompliance. Part 1 focuses on compliance issues involving company stock holdings and transactions.
Rule 10b5-1 trading plans aren't just for SEC compliance to avoid insider trading—they also play a role in helping clients reach their financial-planning goals. Whether you’re a financial advisor or an individual wanting to use a pre-set stock-trading plan, this article explains how best to do it.
Podcast included! Executives must carefully balance the demands of many constituencies interested in their company's stock. Explores ways to manage these pressures while achieving financial goals.
This is simply a selection of the many articles in this section. Use the navigation to the left to explore all of the categories in this section.
SEC Rule 10b5-1 provides a defense against charges of insider trading if you later trade stock while you know confidential, important information about your company. A Rule 10b5-1 trading plan is a program for the preset purchase and/or sale of your stock that meets the requirements of this SEC rule, including the need to...
The classic insider-trading case is using material nonpublic information (MNPI) about the company that you work for to decide to trade that company's stock. However, using MNPI that you learned on the job to buy stock in another company is...
To detect irregular patterns of trading, each stock exchange uses a surveillance operation. When it detects suspicious trading, the surveillance entity reports the matter to the SEC, which now wields a formidable array of digital technology to track and investigate insider trading...
This is simply a selection of the many FAQs in this section. Use the navigation to the left to explore all of the categories in this section.
We've updated our Privacy Policy, and this site uses cookies. Read the Privacy Policy to learn more.
Tax errors can be costly! Don't draw unwanted attention from the IRS. Our Tax Center explains and illustrates the tax rules for sales of company stock, W-2s, withholding, estimated taxes, AMT, and more.
Listen to the podcast on the basics of SEC Law and Insider Trading.
Test your knowledge with our 