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 2029-04-30 and is listed under ICR 202511-3235-002.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 20260212_3235-0801_2026-02861_91 FR 6691_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 20260212_3235-0801_2026-02861_91 FR 6691_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| Rule 10b5-1.SupportingStatement.Final.pdf | Supporting Statement A |
| Rule 10b5-1.SupportingStatement.Final.pdf | Supporting Statement A |
| 20251210_3235-0801_2025-22406_90 FR 57264_60-Day Collection Notice.pdf | Supplementary Document |
| 20251210_3235-0801_2025-22406_90 FR 57264_60-Day Collection Notice.pdf | Supplementary Document |
 Rule 10b5-1 |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202511-3235-002 | Extension without change of a currently approved collection | 2026-02-12 | ||
| 202302-3235-019 | New collection (Request for a new OMB Control Number) | 2023-02-15 | ||
| 202301-3235-004 | New collection (Request for a new OMB Control Number) | 2023-01-10 | Comment filed on proposed rule |