OMB control number
Rule 10b5-1
OMB 3235-0801 · SEC.
OMB 3235-0801
Rule 10b5-1 under the Securities Exchange Act of 1934 provides corporate insiders—executives, directors, employees and issuers themselves—an affirmative defense to insider trading if they trade shares of their own companies pursuant to a binding contract, instruction, or written plan that meets certain conditions set forth in the rule.
The latest form for Rule 10b5-1 expires 2026-04-30 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
|---|
Rule 10b5-1 All Historical Document Collections
| Extension without change of a currently approved collection | 2026-02-12 | ||
| New collection (Request for a new OMB Control Number) | 2023-02-15 | ||
|
Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2023-01-10 |