Securities Law Aspects of Employee Benefit Plans

106 topics in this forum

1. Multiple Employer 401(k) Plan

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

2. Multiple Employer Plan without Employer Stock

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

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

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

4. Non discretionary Investment Advisor contract language

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

5. OFAC Screening

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

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

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

7. Participant Statements and Regulatory disclosure material

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

8. Plan fiduciary with insider information

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

9. Plan Loans/Article 9

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

10. Post-Effective Amendment to S-8

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

11. Post-termination rollover contributions

    By Guest JM123, March 29, 2013   

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

12. 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

13. 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

14. Processing Trades

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

15. Proxy Statement Information

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

16. qualified plan investments in insurance company "separate account

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

17. Re-registration required?

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

18. 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

19. replacing discounted stock options

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

20. Responsibility to complete the SEC Form S-8

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

21. RIA and TPA shared employees

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

22. RIA custody

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

23. Rule 16

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

24. Rule 701 and Equity Grants to Foreign Employees

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

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

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

26. S-8 requirements

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

27. Sarbanes Oxley Section 906 Certification

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

28. Sarbanes-Oxley and Nonqualified Deferred Compensation Plan

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

29. SAS 70

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

30. SEC 206(4)-5 pay to plah

    By Guest Southern FA, July 16, 2010
    • 0 replies
    • 2.5k views
    • 
    • Guest
    • July 16, 2010

31. SEC Remediation

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

32. 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

33. Securities Law Exemption for Multiple Employer Plan

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

34. Securities Law Message Boards

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

35. Shareholder approval for 423 plan and ISO plan

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

36. Shareholder Approval Needed?

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

37. Shareholder Approval Requirement for Amendment of Equity Compensation Plan

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

38. solo 401k uses plan assets to purchase stock

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

39. Son acting in capacity of investment advisor

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

40. Split Dollar and Sarbanes-Oxley Act

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

41. Stock Certificates in Brokerage accounts for a securities firm

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

42. stock fund in supplemental 401(k)

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

43. stock options

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

44. Stock Options on Subsidiary Stock

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

45. Summary Compensation Table

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

46. Tax implications with stock options

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

47. Transferring a plan within a control group.

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

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

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

49. Using an ESOP to become a closely held company

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

50. Violation in submitting trade requests to Bank?

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