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Volume 1, Issue 3
1 March 2000
Journal of Investment Compliance Cover Image for Volume 1, Issue 3
Review Article| March 01 2000

SEC Adopts New Insider Trading Rules and Protection for Prearranged Trades

John H. Sturc;
John H. Sturc
Partner at Gibson, Dunn & Crutcher LLP in Washington, D.C.
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Ronald O. Mueller;
Ronald O. Mueller
Partner at Gibson, Dunn & Crutcher LLP in Washington, D.C.
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Amy L. Goodman;
Amy L. Goodman
Counsel at Gibson, Dunn & Crutcher LLP in Washington, D.C.
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Gillian McPhee
Gillian McPhee
Associate at Gibson, Dunn & Crutcher LLP in Washington, D.C.
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Author & Article Information
Publisher: Emerald Publishing
Online ISSN: 1758-7476
Print ISSN: 1528-5812
© MCB UP Limited
2000
Journal of Investment Compliance (2000) 1 (3): 54–63.
https://doi.org/10.1108/eb045887

This article delves into the new rules concerning insider trading and protection for prearranged trades, which were adopted at the same time Regulation FD was adopted. This starts with the basics of 10 b‐5 insider trading and then it moves into the specifics and the application of the new rules. This is also a discussion of affirmative defenses available for trading plan.

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© MCB UP Limited
2000
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