Publications

Section Newsletter Articles From Andrew M. Klein

A primer on SEC Rule 10b5-1: Affirmative defenses for insider trading By Alan Horwich and Andrew M. Klein Corporate Law Departments, November 2003 Securities and Exchange Commission ("SEC") Rule 10b5-1, issued in 2000, provides a means for corporate insiders and others to engage in certain prearranged securities transactions without running afoul of the prohibition on trading on the basis of material nonpublic information about the securities.

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