This webinar (held live on March 13, 2025) is available to stream on demand for all webinar registrants. If you did not register for the live event, you can register now on this page (includes slide deck and handouts).

To get the 2.0 CE credits for CFPs available with this webinar, please let us know when you have watched it and send us your CFP ID number. The webinar also offers 2.0 CE credits for CEP/ECA and CPWA/CIMA (both self-reported) and 1.5 CE credits for CFA (self-determined and self-reported).

For other on-demand webinars offering CE credits, see the myStockOptions Webinar Channel. There you can also find information on our upcoming live webinars, which in addition offer CPE and EA continuing education credits.

WEBINAR OVERVIEW
Understanding the SEC rules and securities laws that apply to equity comp and company stock is as important as knowing the tax treatment. The wonderful financial advice and planning that you give clients for diversification sit atop both SEC and company rules on stock trading.

In this webinar, learn fundamentals and mechanics of Rule 10b5-1 trading plans, related SEC rules, best practices, and most effective designs for executives and employees who want to regularly sell stock to meet financial goals and diversify but know material nonpublic information about their company.

Get crucial insights on the SEC's rules for 10b5-1 plans and the impact of the amended rules that became effective in 2023. The webinar also provides a solid grounding in other key SEC topics, including Rule 144, Section 16, the rules restricting or permitting share liquidity, and the laws of insider trading.

In 100 minutes, top legal and financial experts present practical guidance and real-world case studies for financial advisors. Their insights and expertise apply to employees and executives at all types of public and private companies. Discover how to use these plans to maximize client wealth in company shares, stock options, and restricted stock/RSUs while protecting clients from insider-trading charges.

TOPICS COVERED
● What a 10b5-1 trading plan is and why/when your clients need one
● SEC's amended rules for 10b5-1 plans, their impact, and what to do now to protect clients
● Evolving practices for designing and structuring a plan to meet client goals
● Process and mechanics for creating and implementing a plan
● How to explain 10b5-1 plans to clients
● Hot spots that could trigger SEC scrutiny
● SEC and company insider-trading rules advisors must know, including changes at the SEC that are expected under the Trump administration
● Rule 144
● Liquidity timeline under SEC rules for when clients can sell their stock
● Section 16 reporting (and insider reporting on Forms 3, 4, and 5)
● How to use information in these SEC filings to better prospect for high-net-worth executive clients
● How to prevent executives and directors from losing their trading profits by violating short-swing-profit rules
● Case studies

PANELISTS
● Michael Andresino (JD), Partner, ArentFox Schiff LLP
● Bobby Doss, (JD) Vice President, Executive Financial Services, Morgan Stanley
● Megan Gorman (JD), Founder, Chequers Financial Management
● moderator: Bruce Brumberg (JD), Editor-in-Chief and Co-Founder, myStockOptions

Detailed introductions to the panelists are below.

TIME/DATE CONFLICT? NO PROBLEM
All registered attendees get unlimited streaming access to the webinar recording for their personal viewing, along with the presentation slide deck. Therefore, even if you can't attend the live webinar, please still register, as you will receive a link to the recording and presentation.

"The knowledge I gained from myStockOptions both as a premium member and from your webinars has made me stand out at work."
—Vincent Leonardo (EA), Tax Analyst, Intuit

CE CREDITS
The live webinar will offer 2.0 CE credit hours for:
● Certified Financial Planners (CFPs)
● CPWA/CIMA professionals (Ethics)
● Enrolled Agents (EA)
● CPAs (CPE)
● Certified Equity Professionals (CEPs) and Equity Compensation Associates (ECA)

The webinar offers 1.5 potential self-determined CE credits for CFAs.

CE credits for CFP, CPWA/CIMA, CEP/ECA, and CFA will also be available via the webinar recording. EA and CPE credits are available only via the live webinar.

CPE Program level: Intermediate
CPE Prerequisite: Knowledge of stock compensation basics
CPE Advanced Prep: None
CPE Delivery Method: Group Internet-Based (webinar)
CPE Field Of Study: Regulatory Ethics - Technical

myStockOptions.com is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org

Questions? For further information, including administrative policies such as complaints and refunds, please contact the myStockOptions team at webinars@mystockoptions.com or 617-734-1979.

Details About the Webinar

About the Speakers

1698805463-6551852cc50fd36c Michael Andresino, JD
Partner, ArentFox Schiff LLP

Mike Andresino has spent over 25 years advising companies on corporate compliance, including disclosure, governance, insider trading and reporting, stock plan design and implementation, and executive compensation. He has written and spoken frequently on securities compliance, stock plan administration, and the venture capital and IPO process, and has guided numerous companies in instituting successful insider compliance programs. Mike is a partner in the Boston office of ArentFox Schiff LLP, where he is a member of the Corporate & Securities practice group. ArentFox Schiff’s 650+ attorneys provide strategic legal counsel to a global roster of corporations, governments, and trade associations. Mike is a graduate of Boston College and the University of Virginia School of Law.

1740590749-807a0196e42afefc Bobby Doss, JD
Vice President, Executive Financial Services, Morgan Stanley

Bobby Doss is Vice President of Morgan Stanley's market-leading Executive Financial Services desk and additionally manages the E*TRADE from Morgan Stanley 10b5-1 desk. He leverages his firm’s experience and resources to help corporate executives and companies navigate the complex landscape of insider-trading regulation and reporting requirements. He focuses on helping existing and IPO companies to help manage the equity flow for their executives and key insiders through Rule 10b5-1 trading plans. Bobby is a graduate of University of Utah and the Creighton University School of Law.

1728869092-c336fa06090fa0b5 Megan Gorman, JD
Founder, Chequers Financial Management

Megan Gorman is the founder and managing partner of Chequers Financial Management, a female owned high net worth tax and financial planning firm in San Francisco, California. Megan's clientele ranges from entrepreneurs to corporate executives to inherited family wealth. An attorney by training, she is passionate about the problem-solving required to work in the world of complex financial planning. Megan has been named to the Forbes 2024 Best In State Wealth Advisors, 2024 and 2022 list of America’s Top Women Wealth Advisors – Best in State. Megan spent the first part of her career as a Vice-President at Ayco, A Goldman Sachs Company and BNY Mellon Wealth Management. She has a B.A. in History from Bryn Mawr College and a JD from Rutgers School of Law. Megan is currently serving on the Board of Trustees for the National Endowment for Financial Education (NEFE). She is Chairwoman of the Investment Committee for the $200m endowment. Megan’s first book, All The Presidents’ Money: How The Men Who Governed America Governed Their Money, was published in September 2024 by Regalo Books.

1739208072-899390eed17bb53c Bruce Brumberg, JD
Editor-in-Chief and Co-Founder, myStockOptions

Bruce Brumberg has devoted most of his professional career to making complex tax and legal concepts understandable to people who do not enjoy reading the Internal Revenue Code and the securities laws. He is the editor-in-chief and a co-founder of myStockOptions.com, the premier provider of web-based educational content and tools on stock options, restricted stock, ESPPs, SARs, and performance shares. Bruce runs another website (myNQDC.com, on nonqualified deferred comp) and writes a popular blog at Forbes.com. He graduated from the University of Michigan and University of Virginia School of Law.

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