Bloomberg Law
Nov. 1, 2021, 7:04 AM

ANALYSIS: SEC to Change Rules for Brokers, Insiders and Proxies?

Preston Brewer
Preston Brewer
Legal Analyst

The SEC looks poised to issue new rulemaking in the next 12 months or so to address the gamification of trading, the long-delayed universal proxy initiative, and corporate insider trading plans. These new rules could have a massive impact on how online brokers interact with their customers, how contested director elections are conducted, and how insiders trade under Rule 10b5-1 corporate stock trading plans.

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