Securities Law Aspects of Employee Benefit Plans (Portfolio 362)

Kirk Maldonado


Sherman & Howard LLC


Susan Daley


Perkins Coie LLP

At a glance

I. Overview
II. Registration Requirements
III. Form S-8 Rules
IV. Section 16
V. Executive Compensation Disclosure Rules
VI. Stock Plan Disclosure
VII. Prohibitions and Other Requirements for Directors and Officers
VIII. Form 8-K Rules
IX. Other Securities Issues


Bloomberg Tax Portfolio, 362 T.M., Securities Law Aspects of Employee Benefit Plans, deals with the registration requirements under federal securities laws, as well as the executive compensation proxy disclosure and other reporting requirements, the short-swing profits recovery rules, and the application of tender offer requirements to executive compensation arrangements.

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