Securities Law Aspects of Employee Benefit Plans

105 topics in this forum

1. Rule 701 and Equity Grants to Foreign Employees

   By Griswold, March 18, 2022
   • 0 replies
   • 1.3k views
   • 
   • Griswold
   • March 18, 2022

2. RIA custody

   By Scuba 401, October 31, 2018
   • 1 reply
   • 6.1k views
   • 
   • Peter Gulia
   • October 31, 2018

3. Transferring a plan within a control group.

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

4. stock fund in supplemental 401(k)

   By benefitsguru, May 16, 2016
   • 6 replies
   • 3.3k views
   • 
   • benefitsguru
   • May 23, 2016

5. Wrongful Termination Award be put into a 403b from CD?

   By Guest traacker, September 3, 2014
   • 1 reply
   • 4.3k views
   • 
   • Chaz
   • September 5, 2014

6. ER Securities in an IRA

   By Archimage, August 26, 2014
   • 4 replies
   • 2.1k views
   • 
   • My 2 cents
   • September 2, 2014

7. Securities Law Exemption for Multiple Employer Plan

   By Guest Lizana, April 28, 2005
   • 20 replies
   • 17.4k views
   • 
   • ERISA11
   • April 21, 2014

8. Kirk Maldonado

   By Chaz, December 30, 2010
   • 6 replies
   • 4.6k views
   • 
   • Chaz
   • March 4, 2014

9. Post-termination rollover contributions

   By Guest JM123, March 29, 2013   

   • Former employees
   • 0 replies
   • 2.9k views
   • 
   • Guest
   • March 29, 2013

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

    By Felicia, January 24, 2013
    • 0 replies
    • 1.9k views
    • 
    • Felicia
    • January 24, 2013

11. Looking for recommendation on stock option tracking software.

    By Guest Liz Mack, March 30, 2000
    • 3 replies
    • 3.6k views
    • 
    • ESOP Guy
    • January 2, 2013

12. Exceeding Share Limit - Restricted Stock Awards

    By Guest elmo27, December 21, 2012
    • 2 replies
    • 1.4k views
    • 
    • Guest
    • December 26, 2012

13. Incentive Stock Options

    By Randy Watson, April 30, 2012
    • 2 replies
    • 1.5k views
    • 
    • Guest
    • December 21, 2012

14. Incidental advice & ERISA

    By MSN, July 20, 2012
    • 0 replies
    • 2.2k views
    • 
    • MSN
    • July 20, 2012

15. Voting Employer Securities

    By ERISA25, May 8, 2012
    • 3 replies
    • 2.3k views
    • 
    • ESOP Guy
    • May 9, 2012

16. 401(k) Plan Prospectus

    By Guest Mel Kiper Jr., March 3, 2011
    • 1 reply
    • 2.9k views
    • 
    • Guest
    • February 23, 2012

17. Equity Award Administration Software

    By Chaz, February 23, 2012
    • 0 replies
    • 1.3k views
    • 
    • Chaz
    • February 23, 2012

18. Employer stock

    By Guest ENT, December 13, 2011
    • 0 replies
    • 2k views
    • 
    • Guest
    • December 13, 2011

19. RIA and TPA shared employees

    By Guest cbclark, July 29, 2011
    • 4 replies
    • 2.6k views
    • 
    • Guest
    • August 12, 2011

20. SAS 70

    By PainPA, May 5, 2011
    • 1 reply
    • 1.7k views
    • 
    • quinnfield
    • May 6, 2011

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

    By Guest gaham, January 11, 2011
    • 1 reply
    • 2.3k views
    • 
    • Guest
    • March 3, 2011

22. solo 401k uses plan assets to purchase stock

    By cpc0506, October 8, 2009
    • 5 replies
    • 3.2k views
    • 
    • QDROphile
    • January 7, 2011

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

    By Guest Southern FA, July 16, 2010
    • 0 replies
    • 2.2k views
    • 
    • Guest
    • July 16, 2010

24. Employee Benefit Records Retention

    By Francis, March 16, 2010
    • 7 replies
    • 4.6k views
    • 
    • Peter Gulia
    • March 27, 2010

25. Asset allocation models-are they investment companies

    By Guest Smokin, March 4, 2010
    • 2 replies
    • 2.3k views
    • 
    • Guest
    • March 8, 2010