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401k › Form S-8

Cadwalader, Wickersham & Taft LLP

Your 401(k) Plan "Brokerage Window" May Require An S-8 Registration

Cadwalader, Wickersham & Taft LLP on

New guidance from the Securities Exchange Commission requires issuers to take a fresh look at their 401(k) plans. On September 22, 2016, the SEC’s Division of Corporation Finance released a Compliance and Disclosure...more

Cooley LLP

Blog: New CDI Regarding Investments Through A Self-Directed “Brokerage Window” Under A 401(K)

Cooley LLP on

Today, Corp Fin posted a new CDI under both Securities Act Section 5 and Form S-8. The CDI involves the issue of whether a company-sponsored 401(k) plan that does not offer an employer securities fund as an investment...more

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