Rule 10b5-1 Insider Trading Plans: Increased DOJ Emphasis Checklist

Summary

This checklist discusses written securities trading plans, called Rule 10b5-1 Plans or 10b5-1 plans (10b5-1 Plans), which under Rule 10b5-1 of the Securities Exchange Act of 1934 (17 C.F.R. § 240.1b5-1) allow a safe harbor for insiders to conduct transactions in their company's securities, recent developments in the prosecution by the Department of Justice (DOJ) of the misuse of 10b5-1 Plans, and key takeaways from the government's new approach to suspected insider trading violations related to 10b5-1 Plans.