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What stock brokers handle 10b-5-1 PLANS

Mamaroneck, NY |
Attorney answers 3


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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 relationship.


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.

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