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
   • 18.5k views
   • 
   • ERISA11
   • April 21, 2014

2. Sarbanes Oxley Section 906 Certification

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

3. Form 11-k & Form 5500 Due Date

   By Guest ircreader, June 25, 2003
   • 5 replies
   • 11.4k views
   • 
   • E as in ERISA
   • June 25, 2003

4. Calculation of Aggregate Sales Price under Rule 701

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

5. 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

6. Cashless Exercises of Private Company Stock Options

   By Guest smithee, March 16, 2000
   • 6 replies
   • 6.7k views
   • 
   • Kirk Maldonado
   • April 1, 2000

7. RIA custody

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

8. 401K Blackout Period

   By Guest NancySue, August 24, 2004
   • 2 replies
   • 6.1k views
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   • E as in ERISA
   • August 25, 2004

9. Employee Benefit Records Retention

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

10. Investment Manager under ERISA 3(38)

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

11. Form 11-K Requirements

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

12. OFAC Screening

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

13. Kirk Maldonado

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

14. Gramm-Leach-Bliley Act & Qualified Plans

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

15. Lying to the SEC on pensions

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

16. Participant Statements and Regulatory disclosure material

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

17. Voting Stock In 401(k) Accounts?

    By Guest Fourohonekay, April 28, 2004
    • 3 replies
    • 4.7k views
    • 
    • QDROphile
    • April 28, 2004

18. 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

19. 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

20. Rule 701 disclosure requirements when sales exceed $5M

    By Guest hapa123, July 20, 2001
    • 0 replies
    • 4.5k views
    • 
    • Guest
    • July 20, 2001

21. Using an ESOP to become a closely held company

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

22. SEC Remediation

    By ERISA-Bubs, November 3, 2023
    • 0 replies
    • 4.4k views
    • 
    • ERISA-Bubs
    • November 3, 2023

23. Multiple Employer Plan without Employer Stock

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

24. How TPA's get compensated

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

25. Son acting in capacity of investment advisor

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

26. Form 4

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

27. Looking for recommendation on stock option tracking software.

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

28. stock fund in supplemental 401(k)

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

29. Stock Options on Subsidiary Stock

    By Guest, February 12, 2000
    • 3 replies
    • 4k views
    • 
    • Guest
    • February 14, 2000

30. Broker-Dealer SEC Rules

    By Guest Jeff Kropp, October 13, 1999
    • 12 replies
    • 4k views
    • 
    • Guest
    • October 27, 1999

31. ESOP Redemption

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

32. Re-registration required?

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

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

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

34. 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

35. solo 401k uses plan assets to purchase stock

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

36. Shareholder Approval Requirement for Amendment of Equity Compensation Plan

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

37. S-8 requirements

    By Guest PAL100759, March 31, 2003
    • 2 replies
    • 3.6k views
    • 
    • Kirk Maldonado
    • April 1, 2003

38. Responsibility to complete the SEC Form S-8

    By Guest Iwonder, January 25, 2006
    • 0 replies
    • 3.6k views
    • 
    • Guest
    • January 25, 2006

39. Blackouts and Reg BTR

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

40. Group Trust with Formerly Related Employers

    By Guest Harry O, February 13, 2002
    • 4 replies
    • 3.4k views
    • 
    • Kirk Maldonado
    • November 18, 2002

41. Multiple Employer 401(k) Plan

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

42. 401(k) Plan Prospectus

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

43. Post-Effective Amendment to S-8

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

44. 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

45. Mailing of Prospectus

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

46. model investment management agreement checklist?

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

47. Form 11-K

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

48. Summary Compensation Table

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

49. Post-termination rollover contributions

    By Guest JM123, March 29, 2013   

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

50. 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