Providing practical guidance for over 50 years.
  

Inside Track with Broc: Jeff Mahoney on Rule 10b5-1 Plans (5/23/13)

 

Jeff Mahoney

Jeff Mahoney is General Counsel of the Council of Institutional Investors

In this podcast, Jeff discusses CII's recent letters to the SEC in a push for rulemaking or interpretive guidance regarding Rule 10b5-1 plans (here is the May letter - and the December letter), including:

  • Why did CII send in letters to the SEC about Rule 10b5-1 plans?
  • What are you hearing from investors about possible Rule 10b5-1 plan abuses?

You have two choices about how to listen:

  1. Streaming Audio (for faster play)
     

  2. Download Audio (to place on iPod, etc.)

How to Listen to This Podcast: Simply click on the link above and your computer likely will enable you to listen to the podcast (after a few moments, as Windows Media Player or RealPlayer launches and opens the audio file). If you don't have Windows Media Player or RealPlayer (or a similar software application), you should download one of those audio-players first. Also note that some members choose to download our podcasts to a MP3 player or iPod so that they can listen to the program away from their office.

The views set forth in the podcast are the speaker's personal views and do not necessarily reflect those of the firm with which he is associated.