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BenefitsLink Message Boards > Employee Benefits in General > Securities Law Aspects of Employee Benefit Plans
J2D2
Non-contributory (I think) defined benefit plan holds employer stock (assume the 10% holding rule is not an issue) and now wants to sell that stock. Employer is listed (not sure which exchange). Is the plan subject to any SEC filing requirements for the sale of the employer stock?

Thanks.
Kirk Maldonado
Yes. You need to get securities counsel involved, hopefully one that also understands something about tax-qualified retirement plans.
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