Securities Law Aspects of Employee Benefit Plans

106 topics in this forum

1. RIA and TPA shared employees

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

2. Matching Contributions in Employer Securities

   By Guest LBarr, March 20, 2007
   • 0 replies
   • 3.1k views
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   • Guest
   • March 20, 2007

3. replacing discounted stock options

   By Steelerfan, October 19, 2006
   • 2 replies
   • 3.1k views
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   • Steelerfan
   • October 19, 2006

4. Rule 16

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

5. Broker as Fiduciary on retirement plan???

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

6. CA Blue Sky exemptions?

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

7. ER Securities in an IRA

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

8. Split Dollar and Sarbanes-Oxley Act

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

9. Shareholder approval for 423 plan and ISO plan

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

10. Voting Employer Securities

    By ERISA25, May 8, 2012
    • 3 replies
    • 2.9k views
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    • ESOP Guy
    • May 9, 2012

11. 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

12. 401(k) Plan Security Registration Requirements

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

13. Sarbanes-Oxley and Nonqualified Deferred Compensation Plan

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

14. Tax implications with stock options

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

15. Asset allocation models-are they investment companies

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

16. 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

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

    By Guest gaham, January 11, 2011
    • 1 reply
    • 2.6k views
    • 
    • Guest
    • March 3, 2011

18. Incidental advice & ERISA

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

19. "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

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

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

21. Disclosure of ESOP Allocations

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

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

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

23. Form for qualified plan stock.

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

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

    By Guest John B Natowitz, November 8, 2000
    • 0 replies
    • 2.5k views
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    • Guest
    • November 8, 2000

25. Accredited Investor

    By Guest lvegas, June 16, 2006
    • 0 replies
    • 2.5k views
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    • Guest
    • June 16, 2006

26. Departed Directors

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

27. 403(b)s and 10b-10

    By Felicia, January 24, 2013
    • 0 replies
    • 2.4k views
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    • Felicia
    • January 24, 2013

28. Plan fiduciary with insider information

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

29. Shareholder Approval Needed?

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

30. Proxy Statement Information

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

31. Employer stock

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

32. Group Trusts

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

33. 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

34. Form 11-K

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

35. stock options

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

36. qualified plan investments in insurance company "separate account

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

37. Violation in submitting trade requests to Bank?

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

38. Processing Trades

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

39. Securities Law Message Boards

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

40. Rule 701 and Equity Grants to Foreign Employees

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

41. Stock Certificates in Brokerage accounts for a securities firm

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

42. 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

43. 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

44. Plan Loans/Article 9

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

45. SAS 70

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

46. custody of assets

    By k man, September 17, 2001
    • 0 replies
    • 2.1k views
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    • k man
    • September 17, 2001

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

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

48. Leased Employees of Municipality

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

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

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

50. 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