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

Industry: Human Resources

myStockOptions, the leader in stock compensation resources, is holding a webinar on 10b5-1 trading plans with crucial guidance for corporate insiders and their advisors

Boston, MA (PRUnderground) October 13th, 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 resources for stock options, restricted stock/RSUs and ESPPs, will hold a special webinar about 10b5-1 trading plans on October 20, 2021 (2pm–3:40pm ET, 11am–12:40pm PT). It will offer crucial guidance for corporate insiders and their financial advisors on fundamentals, best practices, and most effective designs for 10b5-1 plans. In 100 minutes, top legal and financial experts will present practical guidance and real-world case studies. Their insights and expertise apply to employees, executives, and directors at all types of companies.

“Advisors with executives, directors, and key insider employees need to know how to use 10b5-1 plans to maximize their clients’ assets 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.” also has a comprehensive website section on SEC law, including 10b5-1 plans and insider trading.

Webinar Details & Registration

Registration and a detailed agenda are available at the webinar website:

Webinar Panelists

– Rich Baker, Executive 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
– 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 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/CIMA certifications
– Certified Equity Professionals (CEPs)

Disclaimer: The news site hosting this press release is not associated with It is merely publishing a press release announcement submitted by a company, without any stated or implied endorsement of the information, product or service. Please refer to a tax attorney or CPA for tax advice.


With award-winning content and tools, is an independent and unbiased source of expertise on stock options, restricted stock, restricted stock units, performance shares, stock appreciation rights, and employee stock purchase plans. We specialize in making complex stock compensation topics clearly understandable and relatable, in plain English and with an engaging style. Our audience includes:

– stock plan participants
– financial planners, wealth advisors, and CPAs
– professionals in stock plan administration, human resources, compensation, and finance
– attorneys, corporate counsel, and other members of legal staff

In addition to individual memberships, we also offer corporate services.

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Bruce Brumberg
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