US regulators are finalizing plans to replace a controversial rule that would dramatically lower a threshold for retail investors to trade equities and options more often. The Financial Industry ...

A “Rule 10b5-1 plan” is intended to satisfy the affirmative defense provided in Rule 10b5-1(c), the rule that provides an affirmative defense to an allegation of having traded on the basis of material ...

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 ...

The SEC recently introduced “Insider Trading Arrangements and Related Disclosure” rules that mandate disclosure of Rule 10b5-1 trading arrangement utilization by directors and officers, as well as ...

Violating the pattern day trading rule can be a costly mistake for active investors. For the uninitiated, it can result in trading restrictions or a locked account. And when that happens, any holdings ...