Financial Planning for Public Company Executives & Directors
Date & Time
June 18, 2019 8:00 AM - 6:00 PM
- Location Burlingame, CA
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Mike, who has spent over 25 years advising management and directors on public company compliance, will lead a session titled “Rule 10b5-1 Trading Plans: Cornerstone Of Legal Protection For Stock Diversification” with Rich Baker, Executive Director of Morgan Stanley’s Executive Financial Services desk. Mike will discuss strategies for SEC and company compliance in creating diversification plans for stock compensation and holdings of company stock. This session will focus on the SEC’s insider trading rules and the benefits of Rule 10b5-1 trading plans, including the requirements of these preapproved plans and their role in a compliant diversification program.
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