Tag: 401(k) plan

New CDI regarding investments through a self-directed “brokerage window” under a 401(k)

by Cydney Posner Today, Corp Fin posted a new CDI under both Securities Act Section 5 and Form S-8.   The CDI involves the issue of whether a company-sponsored 401(k) plan that does not offer an employer securities fund as an investment alternative might still be deemed to be offering employer […]