Securities Law Aspects of Employee Benefit Plans

106 topics in this forum

1. SEC Remediation

   By ERISA-Bubs, November 3, 2023
   • 0 replies
   • 4.3k views
   • 
   • ERISA-Bubs
   • November 3, 2023

2. Rule 701 and Equity Grants to Foreign Employees

   By Griswold, March 18, 2022
   • 0 replies
   • 2.1k views
   • 
   • Griswold
   • March 18, 2022

3. RIA custody

   By Scuba 401, October 31, 2018
   • 1 reply
   • 6.5k views
   • 
   • Peter Gulia
   • October 31, 2018

4. Transferring a plan within a control group.

   By ERISA-Bubs, September 14, 2018
   • 1 reply
   • 915 views
   • 
   • Chaz
   • September 18, 2018

5. stock fund in supplemental 401(k)

   By benefitsguru, May 16, 2016
   • 6 replies
   • 4k views
   • 
   • benefitsguru
   • May 23, 2016

6. Wrongful Termination Award be put into a 403b from CD?

   By Guest traacker, September 3, 2014
   • 1 reply
   • 4.6k views
   • 
   • Chaz
   • September 5, 2014

7. ER Securities in an IRA

   By Archimage, August 26, 2014
   • 4 replies
   • 3k views
   • 
   • My 2 cents
   • September 2, 2014

8. Securities Law Exemption for Multiple Employer Plan

   By Guest Lizana, April 28, 2005
   • 20 replies
   • 18.4k views
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   • ERISA11
   • April 21, 2014

9. Kirk Maldonado

   By Chaz, December 30, 2010
   • 6 replies
   • 5.1k views
   • 
   • Chaz
   • March 4, 2014

10. Post-termination rollover contributions

    By Guest JM123, March 29, 2013   

    • Former employees
    • 0 replies
    • 3.2k views
    • 
    • Guest
    • March 29, 2013

11. 403(b)s and 10b-10

    By Felicia, January 24, 2013
    • 0 replies
    • 2.3k views
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    • Felicia
    • January 24, 2013

12. Looking for recommendation on stock option tracking software.

    By Guest Liz Mack, March 30, 2000
    • 3 replies
    • 4k views
    • 
    • ESOP Guy
    • January 2, 2013

13. Exceeding Share Limit - Restricted Stock Awards

    By Guest elmo27, December 21, 2012
    • 2 replies
    • 1.6k views
    • 
    • Guest
    • December 26, 2012

14. Incentive Stock Options

    By Randy Watson, April 30, 2012
    • 2 replies
    • 1.8k views
    • 
    • Guest
    • December 21, 2012

15. Incidental advice & ERISA

    By MSN, July 20, 2012
    • 0 replies
    • 2.5k views
    • 
    • MSN
    • July 20, 2012

16. Voting Employer Securities

    By ERISA25, May 8, 2012
    • 3 replies
    • 2.8k views
    • 
    • ESOP Guy
    • May 9, 2012

17. 401(k) Plan Prospectus

    By Guest Mel Kiper Jr., March 3, 2011
    • 1 reply
    • 3.3k views
    • 
    • Guest
    • February 23, 2012

18. Equity Award Administration Software

    By Chaz, February 23, 2012
    • 0 replies
    • 1.5k views
    • 
    • Chaz
    • February 23, 2012

19. Employer stock

    By Guest ENT, December 13, 2011
    • 0 replies
    • 2.3k views
    • 
    • Guest
    • December 13, 2011

20. RIA and TPA shared employees

    By Guest cbclark, July 29, 2011
    • 4 replies
    • 3.1k views
    • 
    • Guest
    • August 12, 2011

21. SAS 70

    By PainPA, May 5, 2011
    • 1 reply
    • 2k views
    • 
    • quinnfield
    • May 6, 2011

22. Use of DOL Model Comparative Chart for S-8

    By Guest gaham, January 11, 2011
    • 1 reply
    • 2.5k views
    • 
    • Guest
    • March 3, 2011

23. solo 401k uses plan assets to purchase stock

    By cpc0506, October 8, 2009
    • 5 replies
    • 3.7k views
    • 
    • QDROphile
    • January 7, 2011

24. SEC 206(4)-5 pay to plah

    By Guest Southern FA, July 16, 2010
    • 0 replies
    • 2.5k views
    • 
    • Guest
    • July 16, 2010

25. Employee Benefit Records Retention

    By Francis, March 16, 2010
    • 7 replies
    • 5.6k views
    • 
    • Peter Gulia
    • March 27, 2010

26. Asset allocation models-are they investment companies

    By Guest Smokin, March 4, 2010
    • 2 replies
    • 2.6k views
    • 
    • Guest
    • March 8, 2010

27. OFAC Screening

    By MSN, December 4, 2008
    • 4 replies
    • 5.1k views
    • 
    • J Simmons
    • November 14, 2009

28. Form 4

    By jpod, February 10, 2009
    • 2 replies
    • 4.2k views
    • 
    • GMK
    • August 25, 2009

29. Securities Law Message Boards

    By Chaz, August 21, 2009
    • 0 replies
    • 2.2k views
    • 
    • Chaz
    • August 21, 2009

30. Departed Directors

    By Chaz, January 26, 2009
    • 1 reply
    • 2.4k views
    • 
    • Chaz
    • January 29, 2009

31. model investment management agreement checklist?

    By Guest rissa-7477, November 19, 2008
    • 0 replies
    • 3.3k views
    • 
    • Guest
    • November 19, 2008

32. Son acting in capacity of investment advisor

    By blue, June 30, 2008
    • 6 replies
    • 4.2k views
    • 
    • blue
    • July 1, 2008

33. Calculation of Aggregate Sales Price under Rule 701

    By Guest StephenJ7976, November 7, 2007
    • 12 replies
    • 10.7k views
    • 
    • Steelerfan
    • June 27, 2008

34. Form 11-K

    By Guest mbw, October 4, 2007
    • 1 reply
    • 3.2k views
    • 
    • Chaz
    • October 10, 2007

35. Post-Effective Amendment to S-8

    By Guest mbw, June 25, 2007
    • 0 replies
    • 3.3k views
    • 
    • Guest
    • June 25, 2007

36. Blackouts and Reg BTR

    By Guest erisafried, May 30, 2007
    • 0 replies
    • 3.5k views
    • 
    • Guest
    • May 30, 2007

37. Investment Manager under ERISA 3(38)

    By k man, May 4, 2007
    • 0 replies
    • 5.7k views
    • 
    • k man
    • May 4, 2007

38. Summary Compensation Table

    By Randy Watson, April 5, 2007
    • 1 reply
    • 3.2k views
    • 
    • Chaz
    • April 16, 2007

39. Matching Contributions in Employer Securities

    By Guest LBarr, March 20, 2007
    • 0 replies
    • 3k views
    • 
    • Guest
    • March 20, 2007

40. Shareholder Approval Requirement for Amendment of Equity Compensation Plan

    By Chaz, February 6, 2007
    • 2 replies
    • 3.6k views
    • 
    • J Simmons
    • March 17, 2007

41. Disclosure of ESOP Allocations

    By Chaz, February 27, 2007
    • 0 replies
    • 2.5k views
    • 
    • Chaz
    • February 27, 2007

42. Multiple Employer Plan without Employer Stock

    By J Simmons, February 12, 2007
    • 3 replies
    • 4.3k views
    • 
    • QDROphile
    • February 12, 2007

43. Violation in submitting trade requests to Bank?

    By Guest crosseyetester, January 26, 2007
    • 0 replies
    • 2.2k views
    • 
    • Guest
    • January 26, 2007

44. Lying to the SEC on pensions

    By SoCalActuary, November 22, 2006
    • 8 replies
    • 4.9k views
    • 
    • SoCalActuary
    • December 1, 2006

45. New SEC Disclosure Rules 402(a)(3)

    By Guest Mel Kiper Jr., November 2, 2006
    • 2 replies
    • 3.8k views
    • 
    • Steelerfan
    • November 16, 2006

46. replacing discounted stock options

    By Steelerfan, October 19, 2006
    • 2 replies
    • 3k views
    • 
    • Steelerfan
    • October 19, 2006

47. disparity between the new proxy disclosure rules and 162(m) covered employee

    By Steelerfan, October 4, 2006
    • 2 replies
    • 7.3k views
    • 
    • Steelerfan
    • October 5, 2006

48. Private company - pay fees in stock and allow fees to be deferred

    By Guest crs, August 24, 2006
    • 4 replies
    • 4.6k views
    • 
    • Kirk Maldonado
    • September 3, 2006

49. Multiple Employer 401(k) Plan

    By Guest hsbander, August 15, 2006
    • 1 reply
    • 3.3k views
    • 
    • QDROphile
    • August 15, 2006

50. Accredited Investor

    By Guest lvegas, June 16, 2006
    • 0 replies
    • 2.4k views
    • 
    • Guest
    • June 16, 2006