There was a time years ago when the only people able to trade actively in the stock market were those working for large financial institutions, brokerages, and trading houses. The arrival of online ...

On December 14, 2022, the Securities and Exchange Commission (SEC) adopted amendments and certain enhanced disclosure requirements related to Rule 10b5-1 trading plans. The new amendments include: ...

Day trading is a fast-paced form of stock trading where shares are bought and closed within the same trading day, often within hours or minutes and sometimes within seconds. This strategy is focused ...

January 26, 2023 - On Dec. 14, 2022, the Securities and Exchange Commission ("SEC") issued a final rule amending Rule 10b5-1, with the amendments set to take effect on Feb. 27, 2023. The SEC claims ...

Abuses of 10b5-1 plans, which are supposed to help prevent insider trading, have led the SEC to tighten the rules. Insider trading is a notorious form of white-collar wrongdoing that most people are ...

On March 1, 2023, the SEC and DOJ filed insider trading charges against a public company executive alleging he traded pursuant to 10b5-1 trading plans he adopted while he was in possession of material ...

Gordon Scott has been an active investor and technical analyst or 20+ years. He is a Chartered Market Technician (CMT). Gordon Scott has been an active investor and technical analyst or 20+ years. He ...

The Financial Industry Regulatory Authority (FINRA)’s Board of Governors has approved a major overhaul of its pattern day trading (PDT) rules, marking a critical shift in how active retail trading ...

Proprietary trading is a common financial activity that is currently being targeted for additional regulation in the aftermath of the 2008 financial crisis and several high-profile losses by major ...

Samantha (Sam) Silberstein, CFP®, CSLP®, EA, is an experienced financial consultant. She has a demonstrated history of working in both institutional and retail environments, from broker-dealers to ...