Securities Law Aspects of Employee Benefit Plans

106 topics in this forum

1. Plan fiduciary with insider information

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

2. Securities Law Exemption for Multiple Employer Plan

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

3. 401K Blackout Period

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

4. ESOP Redemption

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

5. 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

6. Impact of Proposed Regs on ESPPs

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

7. Voting Stock In 401(k) Accounts?

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

8. How TPA's get compensated

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

9. 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

10. Participant Statements and Regulatory disclosure material

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

11. CA Blue Sky exemptions?

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

12. Non discretionary Investment Advisor contract language

    By k man, December 21, 2003
    • 0 replies
    • 2.8k views
    • 
    • k man
    • December 21, 2003

13. Using an ESOP to become a closely held company

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

14. Re-registration required?

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

15. 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

16. Sarbanes Oxley Section 906 Certification

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

17. Shareholder Approval Needed?

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

18. S-8 requirements

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

19. Broker as Fiduciary on retirement plan???

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

20. DBP Selling Employer Stock

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

21. stock options

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

22. Sarbanes-Oxley and Nonqualified Deferred Compensation Plan

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

23. Split Dollar and Sarbanes-Oxley Act

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

24. Rule 16

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

25. Form 11-K

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

26. 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

27. Group Trust with Formerly Related Employers

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

28. Shareholder approval for 423 plan and ISO plan

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

29. 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

30. 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

31. custody of assets

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

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

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

33. Gramm-Leach-Bliley Act & Qualified Plans

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

34. "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

35. Proxy Statement Information

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

36. 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

37. Tax implications with stock options

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

38. Group Trusts

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

39. 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

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

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

41. 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

42. Plan Loans/Article 9

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

43. Looking for recommendation on stock option tracking software.

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

44. Processing Trades

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

45. Cashless Exercises of Private Company Stock Options

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

46. Stock Options on Subsidiary Stock

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

47. 401(k) Plan Security Registration Requirements

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

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

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

49. Form for qualified plan stock.

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

50. Broker-Dealer SEC Rules

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