There was a time years ago when the only people able to trade actively in the stock market were those working for large financial institutions, brokerages, and trading houses. The arrival of online ...

US regulators are finalizing plans to replace a controversial rule that would dramatically lower a threshold for retail investors to trade equities and options more often. The Financial Industry ...

On December 14, 2022, the Securities and Exchange Commission (SEC) adopted amendments and certain enhanced disclosure requirements related to Rule 10b5-1 trading plans. The new amendments include: ...

A “Rule 10b5-1 plan” is intended to satisfy the affirmative defense provided in Rule 10b5-1(c), the rule that provides an affirmative defense to an allegation of having traded on the basis of material ...

Day trading is a fast-paced form of stock trading where shares are bought and closed within the same trading day, often within hours or minutes and sometimes within seconds. This strategy is focused ...

January 26, 2023 - On Dec. 14, 2022, the Securities and Exchange Commission ("SEC") issued a final rule amending Rule 10b5-1, with the amendments set to take effect on Feb. 27, 2023. The SEC claims ...

Apps like Robinhood may have to regulate predictive analytics used to encourage trading Chip Somodevilla / Staff / Getty Images The U.S. Securities and Exchange Commission (SEC) enhanced rules ...

Abuses of 10b5-1 plans, which are supposed to help prevent insider trading, have led the SEC to tighten the rules. Insider trading is a notorious form of white-collar wrongdoing that most people are ...

Mike Bienenfeld, Jeff Cohen, Doug Davison, Alejandro Gordano, Mas Harntha, Jason Manketo, Luis Roth, Clara Pang, Alexander Parkhouse, Igor Rogovoy, Pam Shores, Cole ...