Guide to Regulation FD and Insider Trading Reforms helps companies and their management, spokespersons, and other employees comply with the disclosure requirements of Regulation FD and the insider trading provisions of Rules 10b5-1 and 10b5-2.
Table of Contents
Chapter 1Regulation FD
Overview
Background of Selective Disclosure
SECs Position and Adoption of Regulation
Covered Issuers
Persons Acting on Issuers Behalf
Recipients of Disclosure
Material, Nonpublic Information
Intentional and Non-intentional Disclosure
Public Disclosure
Securities Offerings
Liability Issues
Enforcement Actions
NIRI Standards
U.K. Financial Services Authority
Best Practices
Chapter 2Insider Trading Rules
Introduction
Awareness Standard
Affirmative Defenses
Misappropriation Theory
Guide to Regulation FD and Insider Trading Reforms helps companies and their management, spokespersons, and other employees comply with the disclosure requirements of Regulation FD and the insider trading provisions of Rules 10b5-1 and 10b5-2.
Table of Contents
Chapter 1Regulation FD
Overview
Background of Selective Disclosure
SECs Position and Adoption of Regulation
Covered Issuers
Persons Acting on Issuers Behalf
Recipients of Disclosure
Material, Nonpublic Information
Intentional and Non-intentional Disclosure
Public Disclosure
Securities Offerings
Liability Issues
Enforcement Actions
NIRI Standards
U.K. Financial Services Authority
Best Practices
Chapter 2Insider Trading Rules
Introduction
Awareness Standard
Affirmative Defenses
Misappropriation Theory