Kelly Gibson

Kelly Gibson

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SEC Adopts Significant Changes to Rule 10b5-1 Affecting Trading by Insiders

The US Securities and Exchange Commission (SEC) on December 14, 2022, finalized amendments to Rule 10b5-1 that will both amend the Rule 10b5-1(c)(1) affirmative defense to insider trading liability and create new disclosure...more

12/23/2022  /  10b5-1 Plans , Affirmative Defenses , Corporate Governance , Disclosure Requirements , Insider Trading , Material Nonpublic Information , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation

Green and Bear It: SEC Proposes ESG Rules for Advisers and Registered Funds

In a 3-1 vote on May 25, 2022, the US Securities and Exchange Commission (SEC) approved a proposed environmental, social, and governance (ESG) rulemaking for investment advisers and funds. The proposed rule and form...more

6/1/2022  /  Corporate Governance , Environmental Social & Governance (ESG) , Greenhouse Gas Emissions , Policies and Procedures , Proposed Amendments , Proposed Rules , Proxy Voting , Securities and Exchange Commission (SEC)
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