Virgin Islands Jury Instruction - 4.4.1 Rule 10(b) - 5(a) Device, Scheme Or Artifice To Defraud Insider Trading
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The affirmative defense under amended Rule 10b5-1 will require plans to include a minimum cooling-off period for directors, officers, and persons other than the company. Companies are not subject to a minimum cooling-off period under the amended rule. Directors and officers (90?120 days).
A 10b5-1 plan allows insiders to sell shares under a prearranged structure to help avoid SEC-related issues and provide more transparency for sales of their company stock.
SEC Rule 10b-5 prohibits corporate officers and directors or other insider employees from using confidential corporate information to reap a profit (or avoid a loss) by trading in the Company's stock. This rule also prohibits ?tipping? of confidential corporate information to third parties.
Under the amended rules, issuers will be required to disclose whether they have adopted insider trading policies and procedures governing the purchase, sale, and other dispositions (including gifts) of their securities by directors, officers, and employees, or the issuer itself that are reasonably designed to promote ...
To establish a claim under Rule 10b-5, plaintiffs (including the SEC) must show (i) Manipulation or Deception (through misrepresentation and/or omission); (ii) Materiality; (iii) "In Connection With" the purchase or sale of securities, and (iv) Scienter.
The affirmative defense under amended Rule 10b5-1 will require plans to include a minimum cooling-off period for directors, officers, and persons other than the company. Companies are not subject to a minimum cooling-off period under the amended rule. Directors and officers (90?120 days).
Use a short duration | 10b5-1 plans can be for any duration, however, we recommend setting them up for no longer than one year. This way, as market conditions change over time, the trading strategy can be adjusted without changing the plan while in effect.
Under Rule 10b5-1, insiders establish trading plans through which they schedule the purchase or sale of a predetermined number of shares through one or more trades with an independent third-party broker up to two years in advance.
New Item 408 of Regulation S-K generally requires: Quarterly disclosure regarding the adoption and termination (including modification) of Rule 10b5?1 plans and non-Rule 10b5-1 trading arrangements by officers and directors of the issuer, and a description of the material terms of such plans (other than pricing terms);
A 10b5-1 plan allows insiders to sell shares under a prearranged structure to help avoid SEC-related issues and provide more transparency for sales of their company stock.