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Tag: SEC Enforcement

Director signing a prearranged trading plan under Rule 10b5-1 for regulatory compliance

Understanding Rule 10b5-1: Insiders’ Guide to Prearranged Trades

June 26, 2025 FinanceFacts101 Business Finance

Introduction and Overview of Rule 10b5-1 Rule 10b5-1, a clarification to Rule 10b-5 under the Securities Exchange Act of 1934, is an essential guideline for insiders in publicly traded corporations looking to establish prearranged trades without violating insider trading laws. Established by the Securities and Exchange Commission (SEC) in 2000,

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Understanding the Implications of the Foreign Corrupt Practices Act (FCPA) for Institutional Investors

October 8, 2024 FinanceFacts101 Finance Policy

Introduction and Overview of the FCPA The Foreign Corrupt Practices Act (FCPA) is a U.S. law that plays a crucial role in combating international bribery and corruption. Passed in 1977, this statute prohibits U.S. firms and individuals from offering, promising, or paying bribes to foreign officials, as well as recording

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FinanceFacts101.com is dedicated to providing educational resources on financial literacy. All content and materials on this website are for informational and educational purposes only and do not constitute financial advice. We encourage our readers to conduct their own research and consult with a qualified financial professional before making any financial decisions.