10b5-1 plans, simplified

Automated SEC reporting and no plan minimums. Works with your existing stock admin platform.

Simple, automated 10b5-1 plans with zero paperwork

As seen on

Eliminate insider trading at your company

Traditional 10b5-1

Section 16 directors & officers

Manual setup & admin

Transfer agent hell

No share minimums

Automated & auditable administration

T+1 ready share settlement

SEC enforcement is up 45%, is your company next?

Recent cases

Amazon finance manager traded on pre-release financials and tipped friends & family. View case

5 Netflix software engineers traded on internal user growth numbers. View case

Coinbase employee and brother traded on insider information about product plans. View case

Take note. Because I expect other such cases will follow.

Assistant Attorney General Kenneth A. Polite, Jr., regarding insider trading prosecutions

Whitepaper: how the SEC is catching insider trading

Read the latest whitepaper on how ARTEMIS is changing the SEC's enforcement priorities.

Works with your existing stock admin

T+1 ready share settlement

Less work with every trade. Settle trades quickly and painlessly.

Full SEC reporting suite

Save time with automated SEC reporting and avoid costly errors.

Insider trading supervision

Enhance affirmative defense and keep policies current with evolving case law.

T+1 ready share settlement

Less work with every trade. Settle trades quickly and painlessly.

Full SEC reporting suite

Save time with automated SEC reporting and avoid costly errors.

Insider trading supervision

Enhance affirmative defense and keep policies current with evolving case law.

Fully automated 10b5-1 plan enrollment

Add your 10b5-1 policies

Employees can only start plans within the rules set by you.

Employees self‑onboard

Fast and simple onboarding with full employee education.

Effortless administration

From plan approval to SEC fillings, it's all automated and auditable.

Sail through trading windows with ease

Automate plan approvals, SEC fillings and more - so your team can breathe easy.

Compliant by design

Cooling-off periods

Amendment and termination

Regulatory fillings

Special blackout lists

Trading windows

WHY EXPAND 10b5-1 ACCESS?

Employees are more likely to insider trade than executives

10b5-1 plans help employees access predictable liquidity, reduce risky investment decisions and protect shareholder value.

84%

want to systematically diversify and reduce risks

58%

want to take away the stress of timing the market

30%

need cash to meet their living expenses

58%

want to take away the stress of timing the market

84%

want to systematically diversify and reduce risks

Data from Google employee survey

Give every employee affirmative defense

RSUs are complex.
Let’s help employees.

Intuitive interface + plans designed to help employees consider risk, diversification and taxes proactively.

67%

need help understanding consequences of selling

Based on E*TRADE stock plan 2020 participation study

62%

Don’t know what to do when they first receive RSUs

An education-first platform

Weekly live financial education, live product support and rich content.

Up to

700+

Exclusive financial articles, videos and tools →

67%

need help understanding consequences of selling

Based on E*TRADE stock plan 2020 participation study

62%

Don’t know what to do when they first receive RSUs

An education-first platform

Every trading plan starts with required compliance education in a simple-to-understand format.

10b5-1 administration with zero paperwork

Candor works closely with you to create a simplified plan template that’s right for your organization and compliance needs.

Simple workflows for your team

Fully enforced compliance controls

Automated reporting and supervision

A free benefit that helps you retain employees longer

Do stock plan benefits influence your decision to stay in your job?

Yes, will influence my retention

36%

2019

41%

2020

Source: E*TRADE participant whitepaper 2021

SOMETHING YOUR CFO WILL LIKE...

Data shows 10b5-1 plans increase stock market confidence

Transparency breeds trust. A survey by Edelman found that 88% of investors consider transparent practices important when deciding where to invest their funds.

Up to date on the latest SEC rules

From cooling-off periods to good faith case enforcement, Candor keeps up with SEC rules and case law to make sure your plans are always compliant

Cooling-off periods

Amendment/termination

Reporting

Trading windows

Special blackout lists

Section 16 exclusion

Hedging & shadow trading

MNPI certifications

Cooling-off periods

Special blackout lists

Trading windows

MNPI certifications

Reporting & monitoring

Advisory services provided by Candor Financial LLC, an SEC registered investment adviser. Registration does not imply a certain level of skill or training nor does it imply endorsement by the SEC. Securities held at Apex Clearing are insured by the Securities Investor Protection Corporation. SIPC does not protect against the decline in value of your securities. Learn what SIPC covers

Candor in the press