Securities Law Aspects of Employee Benefit Plans

106 topics in this forum

1. "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

2. 401(k) Plan Prospectus

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

3. 401(k) Plan Security Registration Requirements

   By Guest StaceyH, February 11, 2000
   • 0 replies
   • 2.8k views
   • 
   • Guest
   • February 11, 2000

4. 401K Blackout Period

   By Guest NancySue, August 24, 2004
   • 2 replies
   • 6k views
   • 
   • E as in ERISA
   • August 25, 2004

5. 403(b)s and 10b-10

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

6. Accredited Investor

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

7. Asset allocation models-are they investment companies

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

8. Blackouts and Reg BTR

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

9. Broker as Fiduciary on retirement plan???

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

10. Broker-Dealer SEC Rules

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

11. CA Blue Sky exemptions?

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

12. Calculation of Aggregate Sales Price under Rule 701

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

13. Cashless Exercises of Private Company Stock Options

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

14. Changing 401(k)investment options to include publicly traded mutual fu

    By Guest Kennedy, August 5, 1999
    • 0 replies
    • 2.1k views
    • 
    • Guest
    • August 5, 1999

15. 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

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

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

17. custody of assets

    By k man, September 17, 2001
    • 0 replies
    • 2k views
    • 
    • k man
    • September 17, 2001

18. DBP Selling Employer Stock

    By J2D2, March 5, 2003
    • 1 reply
    • 1.7k views
    • 
    • Kirk Maldonado
    • March 5, 2003

19. Departed Directors

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

20. Disclosure of ESOP Allocations

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

21. 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

22. Employee Benefit Records Retention

    By Francis, March 16, 2010
    • 7 replies
    • 5.7k views
    • 
    • Peter Gulia
    • March 27, 2010

23. Employer stock

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

24. Equity Award Administration Software

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

25. ER Securities in an IRA

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

26. ESOP Redemption

    By Guest JoeM, July 7, 2004
    • 1 reply
    • 3.9k views
    • 
    • Kirk Maldonado
    • July 8, 2004

27. Exceeding Share Limit - Restricted Stock Awards

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

28. Failure to Get Shareholder Approval for Amendment to Section 423 Emplo

    By Guest Edward McElroy, January 31, 2002
    • 1 reply
    • 1.9k views
    • 
    • Kirk Maldonado
    • January 31, 2002

29. Form 11-K

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

30. Form 11-K

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

31. 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

32. Form 11-K Requirements

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

33. Form 4

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

34. Form for qualified plan stock.

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

35. Gramm-Leach-Bliley Act & Qualified Plans

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

36. Group Trust with Formerly Related Employers

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

37. Group Trusts

    By IRC401, July 29, 2000
    • 0 replies
    • 2.3k views
    • 
    • IRC401
    • July 29, 2000

38. How TPA's get compensated

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

39. Impact of Proposed Regs on ESPPs

    By Guest DMK, May 6, 2004
    • 0 replies
    • 1.8k views
    • 
    • Guest
    • May 6, 2004

40. Incentive Stock Options

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

41. Incidental advice & ERISA

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

42. Investment Manager under ERISA 3(38)

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

43. Kirk Maldonado

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

44. Learn about and discuss employee stock options and employee stock purc

    By Guest FERRALL70, May 18, 2000
    • 0 replies
    • 2k views
    • 
    • Guest
    • May 18, 2000

45. Leased Employees of Municipality

    By Guest Ralph Amadio, September 20, 1999
    • 0 replies
    • 1.9k views
    • 
    • Guest
    • September 20, 1999

46. Looking for recommendation on stock option tracking software.

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

47. Lying to the SEC on pensions

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

48. Mailing of Prospectus

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

49. Matching Contributions in Employer Securities

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

50. model investment management agreement checklist?

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