BenefitsLink Message Boards > Registration under 1933 Act when 401k deferrals can go to ER stock?

Full Version: Registration under 1933 Act when 401k deferrals can go to ER stock?

BenefitsLink Message Boards > Employee Benefits in General > Securities Law Aspects of Employee Benefit Plans

Pete Swisher

May 6 2004, 04:02 PM

It's my understanding when a plan offers employer securities and allows a participant to use deferral money to invest in the employer securities, the plan is no longer exempt from registration under the 1933 Act. True? Citations? I've seen info under 17CFR230, Reg C, and Form s-8 that suggest it's true, but I'm looking for definitive cite/rules.

Thanks.

QDROphile

May 6 2004, 07:46 PM

SEC Release No.33-6188. Have fun reading it.

Kirk Maldonado

May 9 2004, 11:52 PM

You should also look at SEC Release 33-6281.

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