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Article
Rule 10b5‑1 Trading Plans: A Practical Overview For Companies And Corporate Insiders
Companies with equity-compensation programs face significant insider-trading risks when employees, officers, and directors trade company securities while aware of material nonpublic information. Rule 10b5-1 trading plans provide an affirmative defense against insider-trading claims by establishing predetermined trading arrangements that satisfy specific SEC requirements, including adoption timing, good-faith certifications, mandatory cooling-off periods, and restrictions on overlapping plans.
United States Commercial
WT
Winston Taylor
Article
AI, MNPI, And The SEC: How Existing Law Applies To Model-Driven Trading
When an AI system is trained on material nonpublic information, MNPI, and then used to inform or execute trades, the firm deploying that system may face insider trading liability, even if no human trader ever directly reviewed the underlying data. The SEC has not yet brought a case on this precise theory, but recent enforcement actions, particularly its 2023 settlement with Virtu Financial, establish the compliance framework most likely to govern AI-driven trading. The legal risk is no longer hypothetical.
United States Commercial
GU
Gesmer Updegrove LLP
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PE
Private Equity
E
ESG
F
Franchising
PM
Private M&A

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Executive Remuneration

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Compliance

Article
Built For One Era, Operating Across Four Generations
Federal banking agencies have issued revised model risk management guidance in SR 26-2, introducing a more explicitly risk-based approach to model governance, validation, and monitoring. While primarily targeting organizations with over $30 billion in assets, the principles-based framework has broader implications for regional and community banks navigating evolving regulatory expectations.
United States Finance
AC
Ankura Consulting Group LLC
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Shareholders

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Privilege

Article
Transparency And Infrastructure Foresight As Competitive Advantages
Early transparency around costs, infrastructure constraints, and permitting considerations can serve as a competitive advantage in major economic development projects. Drawing on real-world development scenarios, this piece highlights how proactive disclosure and infrastructure planning can help manage risk, protect project timelines, and build trust among companies, communities, and stakeholders.
United States Government
MV
Moore & Van Allen
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