Any financial advisor?

Question: Does anyone know anything about a 10B5-1 plan? I am a financial advisor, but I can not find a lot of information on this type of plan, and my compliance department tells me “about” the plan and how to open it. Does anyone have experience with a 10B5-1 plan for insider trading?

Answer:
I've not used it, but here's a few articles/links that might help.

http://www.adamsharkness.com/files_and_p...

http://www.wiseradvisor.com/university-a...

http://www.mofo.com/news/updates/bulleti...

http://www.williamblair.com/pages/10b51.

http://www.law.uc.edu/ccl/34actrls/rule1...

http://lawprofessors.typepad.com/busines...

http://www.jonesday.com/pubs/pubs_detail...

Hope that helps!

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I am a former FA, but I have no clue what the 10B5-1 plan is. However, since your question ends with, "...plan for insider trading", it's probably not a legal type of plan!

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