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Securities Laws and 403(b) Plans
Baker & Daniels LLP Mar. 11, 2008
Excerpt: One of the most striking differences between 403(b) plans and 401(k) plans is the way in which the Securities Act of 1933 and the Security Exchange Act of 1934 apply to them. Though the new 403(b) regulations attempt to make 403(b) plans look and act almost like 401(k) plans, the application of securities laws will make that objective difficult – if not impossible – to achieve without wholesale revision of the securities laws.
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