Skip to main content

What are 10b5-1 plans and how are they affected by new SEC rules?

April 28, 2023 | By Wealthstream Advisors Team

10b5-1 plans can be a great option when divesting from concentrated equity positions in a firm, potentially offering protection against insider trading charges while avoiding the perception of failing confidence.

In this Insight, we explain these plans, how they work, and how they will be affected by new SEC rules changes.

An Introduction to Equity Compensation

July 29, 2021 | By Brant Cavagnaro, CFA®, CFP®

For executives at public companies and key employees of early-stage startups, it’s common for companies to offer equity compensation in place of a higher salary. In this blog post, I’ll explain what equity compensation is and discuss the differences between each form of equity compensation.