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Email New guidance from the Securities Exchange Commission requires issuers to take a fresh look at their 401(k) plans. On September 22, 2016, the SEC’s Division of Corporation Finance released a Compliance and Disclosure Interpretation (“CDI”) addressing registration requirements for 401(k) plans that allow investments through a self-directed “brokerage window.” https://www.cadwalader.com/resources/clients-friends-memos/your-401k-plan-brokerage-window-may-require-an-s-8-registration