As equity programs grow and employee trading becomes more automated, pre-clearance has shifted from a narrow compliance checkbox to a core risk management function. This session examines how companies are modernizing pre-clearance frameworks—expanding beyond Section 16 insiders to employees trading through online platforms and Rule 10b5-1 plans.
Equity, legal, and compliance leaders will explore how organizations translate policy into scalable, auditable operating models—balancing control, efficiency, and employee experience. Leave with a practical blueprint for structuring modern pre-clearance programs that support growth and enable responsible trading.
Already registered? Access this program at https://education.naspp.com/p/preclearance-protocols