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Recent cases and SEC guidance on Rule 10b5-1 trading plans

Pillsbury Winthrop Shaw Pittman LLP

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USA June 12 2009

Recent insider trading allegations by the Securities & Exchange Commission against the former CEO of Countrywide Financial, filed June 4 in Los Angeles federal court, illustrate the SEC’s continuing concern about potential abuses of so-called “Rule 10b5-1” trading plans.

Pillsbury Winthrop Shaw Pittman LLP - David R. Lamarre
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Filed under

  • USA
  • Capital Markets
  • Pillsbury Winthrop Shaw Pittman LLP

Tagged with

  • SEC
  • Chief executive officer
  • Insider trading
  • Allegation
  • Bank of America Home Loans

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Thomas Grozinger
Principal Trust Specialist
RBC Wealth Management
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