October 4, 2023 Intelligize Webinar

1:00-2:00 p.m. ET

During this session focusing on recent developments and trends with the US Securities Exchange Commission (SEC), panelists Ryan Castillo and Anna Pinedo, partners at Mayer Brown, joined by Polia Nair, Assurance Partner at CohnReznick, will cover the following topics:

  • Amendments to Rule 10b5-1:
  • On August 25, 2023, the staff of the U.S. Securities and Exchange Commission posted five new compliance and disclosure interpretations (“C&DI’s”). Three of the new C&DIs related to the recent amendments to Rule 10b5-1 and two related to disclosure of insider trading arrangements.

    C&DI 120.29 clarified that the filing date of a Form 10-Q or

    On May 25, 2023, the staff of the US Securities and Exchange Commission’s Division of Corporation Finance released three Compliance and Disclosure Interpretations (“C&DIs”) on the recent amendments to Rule 10b5-1 regarding insider trading arrangements and related disclosures. Specifically, C&DIs 120.26 and 120.27 identify the dates by which companies must first include the new disclosures

    Amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 are effective today, February 27, 2023.

    Unanimously adopted by the US Securities and Exchange Commission (SEC) December of last year, the Rule 10b5-1 amendments, among other things:  

    • add new conditions to the affirmative defenses to address concerns regarding the use of material nonpublic

    January 19, 2023 Webinar

    12:00 pm – 1:00 pm ET

    Register here.

    In December 2022, the Securities and Exchange Commission adopted significant amendments to Rule 10b5-1, which provides, under certain conditions, an affirmative defense to insider trading claims. Issuers and their boards or directors, large stockholders and investment banks that administer trading plans should

    January 11, 2023 Webinar

    3:00 pm – 4:00 pm ET

    Register here.

    The Securities and Exchange Commission recently approved amendments to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (“Exchange Act”). The SEC had proposed extensive amendments in January 2022, which were the subject of significant comments from market participants. Rule

    On December 14, 2022, the Securities and Exchange Commission (the “SEC”) unanimously adopted amendments (the “amendments”) to Rule 10b5-1 under the Securities Exchange Act of 1934 (the “Exchange Act”) and related disclosure obligations for public companies.  The amendments (i) add new conditions to the availability of the affirmative defense to insider trading liability contained in Rule

    At today’s open meeting, the Securities and Exchange Commission voted to approve amendments to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The SEC had proposed extensive amendments in January 2022, which were the subject of significant comment from market participants. The final amendments take into account some of the commenters’ concerns—in particular by