WORD OF THE DAY® for Hedge Funds – 10b5-1 Plan
AI Claims, Executive Pay, and a New SEC Playbook - While summer temperatures continue to sizzle, things cooled considerably at the SEC in the second quarter of 2025. In this Snapshot, we examine Chairman Paul Atkins’...more
Executive suites in public companies across America took notice in recent weeks when federal prosecutors filed the first ever case based exclusively on an executive’s sale of company shares pursuant to what is commonly...more
On Wednesday, March 1 the Department of Justice (DOJ) announced its first-ever prosecution of an individual for insider trading based on an executive’s use of 10b5-1 trading plans. Terren Peizer, the executive chairman of...more
To stay ahead of the feds, companies need to monitor their own data for possible compliance problems. Congress may soon give companies better visibility into their shareholder bases, including derivatives positions. In this...more