Securities Law Aspects of Employee Benefit Plans

106 topics in this forum

1. 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

2. Calculation of Aggregate Sales Price under Rule 701

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

3. Sarbanes Oxley Section 906 Certification

   By Guest hank, May 14, 2003
   • 12 replies
   • 11.7k views
   • 
   • Guest
   • June 13, 2003

4. Broker-Dealer SEC Rules

   By Guest Jeff Kropp, October 13, 1999
   • 12 replies
   • 3.9k views
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   • Guest
   • October 27, 1999

5. Lying to the SEC on pensions

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

6. Rule 16

   By Guest t936, September 4, 2002
   • 7 replies
   • 3k views
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   • Guest
   • October 2, 2002

7. Employee Benefit Records Retention

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

8. Participant Statements and Regulatory disclosure material

   By Earl, January 21, 2004
   • 6 replies
   • 4.7k views
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   • ljr
   • July 22, 2005

9. Cashless Exercises of Private Company Stock Options

   By Guest smithee, March 16, 2000
   • 6 replies
   • 6.6k views
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   • Kirk Maldonado
   • April 1, 2000

10. Broker as Fiduciary on retirement plan???

    By Guest skim3011, March 5, 2003
    • 6 replies
    • 3k views
    • 
    • Guest
    • March 6, 2003

11. stock fund in supplemental 401(k)

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

12. Son acting in capacity of investment advisor

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

13. Kirk Maldonado

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

14. solo 401k uses plan assets to purchase stock

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

15. Gramm-Leach-Bliley Act & Qualified Plans

    By Guest T C Farnam, June 1, 2001
    • 5 replies
    • 4.9k views
    • 
    • Guest
    • June 6, 2001

16. Form 11-k & Form 5500 Due Date

    By Guest ircreader, June 25, 2003
    • 5 replies
    • 11.3k views
    • 
    • E as in ERISA
    • June 25, 2003

17. Form for qualified plan stock.

    By Guest, November 1, 1999
    • 5 replies
    • 2.5k views
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    • MoJo
    • November 8, 1999

18. ER Securities in an IRA

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

19. Company stock as an investment alternative in Section 401(k) plans

    By Kirk Maldonado, June 25, 1999
    • 4 replies
    • 3.2k views
    • 
    • Kirk Maldonado
    • July 27, 1999

20. 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

21. OFAC Screening

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

22. Group Trust with Formerly Related Employers

    By Guest Harry O, February 13, 2002
    • 4 replies
    • 3.3k views
    • 
    • Kirk Maldonado
    • November 18, 2002

23. RIA and TPA shared employees

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

24. Form 11-K

    By Guest hank, June 25, 2002
    • 3 replies
    • 2.2k views
    • 
    • E as in ERISA
    • June 26, 2002

25. Stock Options on Subsidiary Stock

    By Guest, February 12, 2000
    • 3 replies
    • 3.9k views
    • 
    • Guest
    • February 14, 2000

26. Looking for recommendation on stock option tracking software.

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

27. stock options

    By Guest deedee, December 9, 2002
    • 3 replies
    • 2.2k views
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    • mbozek
    • December 16, 2002

28. Option grants in stock of parent corporation whose stock is traded on

    By Guest tom h, July 19, 2000
    • 3 replies
    • 2.6k views
    • 
    • Kirk Maldonado
    • July 26, 2000

29. Voting Employer Securities

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

30. Multiple Employer Plan without Employer Stock

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

31. How TPA's get compensated

    By Guest pension3668, April 26, 2004
    • 3 replies
    • 4.3k views
    • 
    • Ron Snyder
    • July 22, 2005

32. "Freeze" on Exercise of Stock Options in event of Divorce?

    By Christine Roberts, May 1, 2001
    • 3 replies
    • 2.5k views
    • 
    • Kirk Maldonado
    • May 7, 2001

33. Voting Stock In 401(k) Accounts?

    By Guest Fourohonekay, April 28, 2004
    • 3 replies
    • 4.6k views
    • 
    • QDROphile
    • April 28, 2004

34. Form 11-K Requirements

    By Guest pcohen, May 2, 2006
    • 3 replies
    • 5.2k views
    • 
    • Guest
    • June 7, 2006

35. Privately Held Company Stock in 401(k) Matching Account - 404(c) issue

    By Guest ERISAGuy, November 12, 2001
    • 2 replies
    • 3.3k views
    • 
    • RLL
    • November 16, 2001

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

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

37. Form 4

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

38. CA Blue Sky exemptions?

    By Guest sjb, December 23, 2003
    • 2 replies
    • 3k views
    • 
    • Guest
    • December 24, 2003

39. Registration under 1933 Act when 401k deferrals can go to ER stock?

    By Guest Pete Swisher, May 6, 2004
    • 2 replies
    • 3.7k views
    • 
    • Kirk Maldonado
    • May 10, 2004

40. Asset allocation models-are they investment companies

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

41. Mailing of Prospectus

    By Guest Juice, June 30, 1999
    • 2 replies
    • 3.3k views
    • 
    • Dowist
    • June 30, 1999

42. Tax implications with stock options

    By Guest Jenise Larkins, August 9, 2000
    • 2 replies
    • 2.7k views
    • 
    • Kirk Maldonado
    • August 10, 2000

43. Shareholder Approval Needed?

    By Guest CRC02, April 7, 2003
    • 2 replies
    • 2.3k views
    • 
    • Kirk Maldonado
    • May 8, 2003

44. Incentive Stock Options

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

45. Re-registration required?

    By Guest cease, September 19, 2003
    • 2 replies
    • 3.9k views
    • 
    • Kirk Maldonado
    • September 19, 2003

46. Shareholder Approval Requirement for Amendment of Equity Compensation Plan

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

47. replacing discounted stock options

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

48. Consequences when private company exceeds 12(g)(1) limitations

    By Guest hapa123, July 19, 2000
    • 2 replies
    • 1.9k views
    • 
    • Guest
    • July 21, 2000

49. Exceeding Share Limit - Restricted Stock Awards

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

50. Using an ESOP to become a closely held company

    By Guest Degrandville, October 20, 2003
    • 2 replies
    • 4.4k views
    • 
    • Guest
    • October 30, 2003