Archives: Employee Benefits

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Tips for Seeking Shareholder Approval of Equity Benefit Plans

Most public companies regularly submit equity benefit plans to their shareholders for approval. As a general rule, both NYSE and Nasdaq require that every new benefit plan, and any material amendment to an existing plan, be approved by the shareholders if it offers equity to the company’s officers, directors, employees or consultants (subject to certain … Continue Reading

Limits on 401(k) Plan Brokerage Windows

Many companies have recently modified their 401(k) plans to add a “brokerage window,” sometimes also known as a “self-directed account” or “self-directed brokerage account.” Rather than limiting participants to specified investment options (which may or may not include the employer’s own stock), plans with brokerage windows offer participants the ability to trade most of the … Continue Reading

Join Us at the Winter 2016 Public Company Forum

You will soon receive an email invitation to our upcoming Public Company Forum. If you have previously attended, you know that the PCF is a semi-annual, multidisciplinary, interactive forum devoted specifically to the issues faced by public companies. The Winter 2016 session will be held on Friday, January 22nd at the Le Meridien/Sheraton Hotels’ shared … Continue Reading