Webinar: 10b5-1 Trading Plans And Other SEC Rules Advisors Need To Know by myStockOptions.com Webinars

10b5-1 Trading Plans And Other SEC Rules Advisors Need To Know

About

This webinar (held Oct. 20, 2021) is available on demand. Registered attendees of the webinar receive links to the webinar recording and the webinar slide deck.

Didn't register for the live webinar? For streaming access to the webinar recording, please click on the video screen above and register with the form that pops up. Contact us (editors@mystockoptions.com) to receive a copy of the webinar slide deck and handouts with your registration. If you would like the 2.0 CE credits for CFPs that are available with this webinar, please let us know when you have watched it and send us your CFP ID number so we can report the credits.

For other engaging on-demand webinars in stock comp topics, all of which offer CE credits for CFPs, CEPs, and CPWAs, see the myStockOptions Webinar Channel.

WEBINAR OVERVIEW
Learn the fundamentals, best practices, and most effective designs for Rule 10b5-1 trading plans. Discover how to use these plans to maximize your clients' wealth in company shares, stock options, and restricted stock/RSUs while protecting them from insider-trading charges. Plus, get a solid grounding in other key SEC requirements, including Rule 144, Section 16, rules restricting or permitting share liquidity, and insider trading.

In 100 minutes, this webinar features top legal and financial experts presenting practical guidance and real-world case studies for financial advisors. Their insights and expertise apply to employees and executives at all types of companies: private companies; recently public companies via IPO, SPAC acquisition, or direct listing; or long-time public corporations.

WEBINAR TOPICS
- What a 10b5-1 trading plan is and why/when your clients need one
- Best 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 trading plans to clients
- Hot spots that could trigger SEC scrutiny
- Proposed SEC changes in 10b5-1 requirements and what to do about them now
- SEC and company insider-trading rules advisors must know
- Rule 144
- Section 16 (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
- Liquidity timeline under SEC rules for when clients can sell their stock: private company to IPO or acquisition
- Case studies

CE CREDITS
Whether live or in recorded format, this webinar offers 2.0 CE credit hours for the following certifications:
- Certified Financial Planners (CFPs)
- Certified Equity Professionals (CEPs)
- CPWA/CIMA

TIME CONFLICT? NO PROBLEM: WEBINAR AVAILABLE ON DEMAND
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 have a time conflict, please still register, as you will receive a link to the recording and presentation.

Questions? Please contact the myStockOptions team at 617-734-1979 or webinars@mystockoptions.com

Presenters

Megan Gorman

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 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. She is a Senior Contributor at Forbes and writes on personal finance and income tax. She is frequently quoted across prominent financial media outlets, including The Wall Street Journal, The Washington Post, CNBC, and US News.

Michael Andresino

Partner, Arent Fox 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 Arent Fox LLP, where he is a member of the Corporate & Securities practice group. Arent Fox’s 430+ 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.

Rich Baker

Exec. Director, Morgan Stanley Executive Financial Services

Rich is Executive Director of Morgan Stanley's market-leading Executive Financial Services 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 mostly focuses on helping IPO companies manage the equity flow for their executives and key insiders through Rule 10b5-1 trading plans. He has an MBA in Financial Management from Pace University.