Bainbridge, Stephen Mark, Insider Trading Compliance Programs (January 8, 2019). UCLA School of Law, Law-Econ Research Paper No. 19-02. Available at SSRN: https://ssrn.com/abstract=3312430:
This chapter in a forthcoming handbook on corporate compliance provides an overview of corporate insider trading compliance programs. It sets out the basic legal framework of the federal insider trading prohibition. It then reviews the reasons corporations adopt compliance programs. The chapter next reviews the basic elements of an insider trading compliance program. Finally, the chapter examines the special case of Rule 10b5-1 compliance programs.
Keywords: insider trading, compliance
JEL Classification: K22
