Insider Trading Law

Articles and FAQs related to insider trading law on myStockOptions.com. Topics covered range from the fundamentals of insider-trading law to advanced topics such as pre-approved trading plans under Rule 10b5-1, and other rules related to stock sales by executives.

The Securities and Exchange Commission (SEC) summarizes the rules against insider trading and tipping.

The core law against insider trading, introduced in the Securities Exchange Act of 1934.

A model for a comprehensive insider trading prevention program developed by a major Boston law firm. Includes policy statements and procedures for preventing insider trading among employees and executives.

A comprehensive and informative article on insider trading law and prevention. Written by the producer of the Think Twice video series.

myStockOptions.com has a nifty quiz on insider trading, especially as it relates to stock compensation. Test your smarts and stay out of trouble.

Editor-in-Chief Bruce Brumberg developed this PowerPoint presentation for talks and meetings on insider trading. With colorful examples from recent cases, it covers fundamentals, penalties, Rule 10b5-1 preapproved trading plans, and lessons that the cases of Martha Stewart/ImClone and Joseph Nacchio/Qwest can teach. (Premium members of myStockOptions.com can view the presentation in PDF from the above link and may request permission to use it at their companies. Please allow up to a minute for the presentation to fully appear in your browser.)

Whether you think Martha Stewart is guilty or innocent, or that the government should not have brought criminal charges against her, she made a number of rash mistakes that we all can learn from to avoid civil or even criminal charges of insider trading. You can read this article, by Think Twice producer Bruce Brumberg, on myStockOptions.com.