Author Archives: Tim Hanson

SEC Guidance on Registration of 401(k) Plan Interests when Brokerage Windows are Offered

The Securities Act of 1933 prohibits the offer or sale of securities unless either a registration statement has been filed with the SEC or an exemption from registration is applicable. Although most qualified plan interests qualify for an exemption from […]

Posted in Legal Updates, Plan Administration and Compliance, Qualified Plans, Tax-qualified Retirement Plans | Tagged , , | Leave a comment