Executive Services | Bank of America Merrill Lynch

Executive Services

Merrill Lynch Financial Advisors have the knowledge and experience to assist corporate executives and directors in managing their company stock holdings.

We have experienced staff specialized in company stock-related issues ready to assist you and your executives with:

  • Understanding and managing complex equity awards, such as performance plans
  • Executing transactions in compliance with SEC Rules
  • Diversification strategies
  • Helping participants manage equity awards
  • Reporting stock purchases and sales for insider transactions
  • Designing and implementing a Rule 10b5-1 trading plan, enabling systematic selling or purchasing of company stock at regular intervals, even during periods when executives would otherwise be prohibited from trading.
  • Officer and Director Equity Service (ODES), a solution to help officers and directors meet stringent time constraints imposed on reporting transactions involving company stock.
  • Pre-trade verifications and timely and accurate reporting of open market purchases and sales transactions for corporate insiders
  • Comprehensive wealth management
Implementing a Rule 10b5-1 Trading Plan does not prohibit or prevent legal or regulatory action related to the trades. Trading plans are intended to demonstrate that the purchase or sale of a security of any issuer was not on the basis of material, nonpublic information about that security or issuer and therefore, not in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. Diversification does not ensure a profit or protect against loss.
AR-ARQWHFCY-EXP-06/26/2019
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