What stock brokers handle 10b-5-1 PLANS

Asked over 1 year ago - Mamaroneck, NY


Attorney answers (3)

  1. Robert V Cornish Jr.

    Contributor Level 16


    Lawyers agree

    Answered . If you think a brokerage firm can simply create one of these with some pre-packaged forms, think again. You will need a good securities attorney to put things together and negotiate with your company's transfer agent (who in most cases handles such things).

    The foregoing is not legal advice nor is it in any manner whatsoever meant to create or impute an attorney/client... more
  2. Adam Troy Savett

    Contributor Level 11


    Lawyers agree

    Answered . Are you looking for someone to create a plan, or simply wondering what broker can handle trades in an existing plan?

    If you need to create a plan, then you will need an experienced securities attorney.

    If you need a broker to handle trades in an existing plan, then your plan likely has a chosen firm or broker to handle the administration of your plan. Look at the documents given to you by your firm with regard to your stock or option grants.

  3. Pamela Koslyn

    Contributor Level 20


    Lawyer agrees

    Answered . Don't post personally identifying things on this public Q&SA site. Please note, this is a legal Q&A site, and it's not for stock brokers.

    If you're looking for a lawyer, use the "Find a Lawyer" function in your area of this site. If you're looking for a stock broker, this isn't the right site.

    Avvo doesn't pay us for these responses, and I'm not your lawyer just because I answer this question or respond to... more

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