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E*TRADE Launches Industry-First, Automated 10b5-1 Trading Plan Solution

Sep 27, 2018

Through digital 10b5-1 trading plan administration solutions, E*TRADE clients can now save time and focus on what’s most important to them—their participants

NEW YORK--(BUSINESS WIRE)--Sep. 27, 2018-- E*TRADE Financial Corporate Services, Inc. today announced an end-to-end digital and scalable 10b5-1 trading plan experience. The setup, maintenance, and reporting of 10b5-1 trading plans are streamlined for participants and administrators alike.

Administrators can focus on their participants’ needs in an online dashboard rather than rely on the manual tasks of 10b5-1 trading plan administration like paperwork, faxes, and emails.1 Now, administrators are easily able to:

  • Identify and grow their eligible participant universe by filtering through basic plan details
  • Design custom plan parameters, including the length of cooling-off periods and minimum or maximum plan terms
  • Create workflow approvals so a plan can be accepted or rejected

Participants also benefit from greater visibility into the creation and approval of their plan through digital tools and resources. Participants can:

  • Build their plan themselves using holdings from their account
  • Submit their plans for review, approval, sign-off, and execution
  • View their 10b5-1 plan information in real-time through a consolidated dashboard on

“At E*TRADE, our digital ethos drives us to create the solutions that make life easier for clients, allowing them to focus on what really matters,” said Scott Whatley, President of E*TRADE Corporate Services. “This new functionality helps clients save significant time and energy while simplifying the process of 10b5-1 trading plan administration. It not only enables scalability but also allows plan sponsors more time to focus on the needs of their participants—who, in turn, will benefit from the ability to seamlessly create and submit their 10b5-1 plans through an intuitive dashboard.”

For useful trading and investing insights from E*TRADE, follow the company on Twitter, @ETRADE.

About E*TRADE Financial and Important Notices

1. Activation of 10b5-1 plan administration functionality is available for an additional fee.

The E*TRADE Financial family of companies provides financial services, including trading, investing, banking, and managing employee stock plans. Employee stock plan solutions are offered by E*TRADE Financial Corporate Services, Inc. Securities products and services are offered by E*TRADE Securities LLC (Member FINRA/SIPC). Commodity futures and options on futures products and services are offered by E*TRADE Futures LLC (Member NFA). Managed Account Solutions are offered through E*TRADE Capital Management, LLC, a Registered Investment Adviser. Bank products and services are offered by E*TRADE Bank, and RIA custody solutions are offered by E*TRADE Savings Bank, both of which are national federal savings banks (Members FDIC). More information is available at

In connection with stock plan solutions offered by E*TRADE Financial Corporate Services, Inc., E*TRADE Securities LLC provides brokerage services to stock plan participants.

E*TRADE Securities LLC and E*TRADE Financial Corporate Services, Inc. are separate but affiliated companies.

E*TRADE Financial, E*TRADE, and the E*TRADE logo are trademarks or registered trademarks of E*TRADE Financial Corporation. ETFC-G

© 2018 E*TRADE Financial Corporation. All rights reserved.

Source: E*TRADE Financial Corporate Services, Inc.

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