Securities and Exchange Commission regarding insider trades during pension fund blackout periods. The rules prohibit an executive officer of director from purchasing, selling or transferring an equity security of a reporting company within a blackout period under the terms of a company pension plan. ...
style exchanges.) This year, the Administration's proposals have been more favorably received. The mutual fund industry is behind it, and the plan compliance industry may come on board too. There's even talk that the proposals, in some form, will be folded into the next version of PPSEA....
Securities and Exchange Commission (SEC) regarding insider trades during pension fund blackout periods. The SEC has published for comment proposed rules implementing Section 306(a) of the Sarbanes-Oxley Act. Section 306(a) is intended to address cases in which senior executives sold shares when ...
Department of Labor has issued interim final rules regarding written notice to pension fund participants prior to blackout periods. It mentions that the Blackout Regulation applies to all individual account plans and that the notice requirements imposed by the Blackout regulation are applicable to all...