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Firm Memoranda

Investor Advisory Committee Recommends Rule 10b5-1 Reform

Date: 09/16/21

On August 26, 2021, the Investor as Owner Subcommittee (“Subcommittee”) of the Securities and Exchange Commission’s Investor Advisory Committee (“IAC”) issued draft recommendations regarding trading plans intended to meet the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934 (“Exchange Act”). The IAC approved the draft recommendations at its meeting held on September 9, 2021.

CGR Memo - Investor Advisory Committee Recommends Rule 10b5-1 Reform.pdf (pdf | 152.26 KB )