Securities Law Aspects of Employee Benefit Plans

106 topics in this forum

1. 401K Blackout Period

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

2. S-8 requirements

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

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

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

4. Multiple Employer 401(k) Plan

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

5. 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

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

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

7. Would offering an investment in which only Qualified Investors, as def

   By Guest RMM, February 11, 2000
   • 1 reply
   • 2.2k views
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   • IRC401
   • February 12, 2000

8. RIA custody

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

9. Plan Loans/Article 9

   By Felicia, April 14, 2000
   • 1 reply
   • 2.1k views
   • 
   • Kirk Maldonado
   • April 17, 2000

10. Plan fiduciary with insider information

    By Guest allisonperry, June 2, 2005
    • 1 reply
    • 2.3k views
    • 
    • Ron Snyder
    • June 3, 2005

11. DBP Selling Employer Stock

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

12. Transferring a plan within a control group.

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

13. SAS 70

    By PainPA, May 5, 2011
    • 1 reply
    • 2.1k views
    • 
    • quinnfield
    • May 6, 2011

14. Split Dollar and Sarbanes-Oxley Act

    By Guest Steve Morgan, November 4, 2002
    • 1 reply
    • 2.9k views
    • 
    • Kirk Maldonado
    • November 4, 2002

15. Where do I find seminars/classes regarding SEC Compliance and Section

    By Guest lkramer, March 12, 2002
    • 1 reply
    • 2.1k views
    • 
    • Kirk Maldonado
    • March 13, 2002

16. Departed Directors

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

17. ESOP Redemption

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

18. Form 11-K

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

19. Summary Compensation Table

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

20. 401(k) Plan Prospectus

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

21. 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

22. Violation in submitting trade requests to Bank?

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

23. Matching Contributions in Employer Securities

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

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. Incidental advice & ERISA

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

26. Impact of Proposed Regs on ESPPs

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

27. Responsibility to complete the SEC Form S-8

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

28. Disclosure of ESOP Allocations

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

29. Post-termination rollover contributions

    By Guest JM123, March 29, 2013   

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

30. Accredited Investor

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

31. custody of assets

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

32. Stock Certificates in Brokerage accounts for a securities firm

    By Guest bflynn, July 2, 1999
    • 0 replies
    • 2.1k views
    • 
    • Guest
    • July 2, 1999

33. 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

34. qualified plan investments in insurance company "separate account

    By Guest Ralph Amadio, August 13, 1999
    • 0 replies
    • 2.2k views
    • 
    • Guest
    • August 13, 1999

35. Leased Employees of Municipality

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

36. 401(k) Plan Security Registration Requirements

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

37. Shareholder approval for 423 plan and ISO plan

    By Guest ladler, February 7, 2002
    • 0 replies
    • 2.9k views
    • 
    • Guest
    • February 7, 2002

38. SEC Rules Relating to Use of Electronic Communication and Recordkeeping Technologies

    By Guest Sparky, March 11, 2004
    • 0 replies
    • 2.5k views
    • 
    • Guest
    • March 11, 2004

39. Processing Trades

    By k man, March 28, 2000
    • 0 replies
    • 2.2k views
    • 
    • k man
    • March 28, 2000

40. 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

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

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

42. Proxy Statement Information

    By Guest meggie, February 19, 2001
    • 0 replies
    • 2.3k views
    • 
    • Guest
    • February 19, 2001

43. Sarbanes-Oxley and Nonqualified Deferred Compensation Plan

    By Guest AEA, November 20, 2002
    • 0 replies
    • 2.7k views
    • 
    • Guest
    • November 20, 2002

44. Securities Law Message Boards

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

45. SEC Remediation

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

46. Equity Award Administration Software

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

47. Post-Effective Amendment to S-8

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

48. Rule 701 and Equity Grants to Foreign Employees

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

49. Blackouts and Reg BTR

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

50. What level of proxy disclosure (if any ) is required for company paid

    By Guest John B Natowitz, November 8, 2000
    • 0 replies
    • 2.4k views
    • 
    • Guest
    • November 8, 2000