Insider Trading Compliance Programs

19 Pages Posted: 9 Jan 2019

See all articles by Stephen M. Bainbridge

Stephen M. Bainbridge

University of California, Los Angeles (UCLA) - School of Law

Date Written: January 8, 2019


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

Suggested Citation

Bainbridge, Stephen Mark, Insider Trading Compliance Programs (January 8, 2019). UCLA School of Law, Law-Econ Research Paper No. 19-02, Available at SSRN:

Stephen Mark Bainbridge (Contact Author)

University of California, Los Angeles (UCLA) - School of Law ( email )

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