The Program

The Fundamentals of Stock Plan Administration program provides the guidance you need to navigate the maze of compliance requirements and administrative issues applicable to stock plans.  In today’s environment of significant regulatory change and heightened scrutiny, a solid understanding of the regulatory landscape and best practices is critical. 

This intensive two-day course introduces the concepts, terminology and functional interactions for stock options (NQSO and ISO), restricted awards (stock and units), stock appreciation rights and Section 423 ESPPs. Additionally, we provide an overview of the regulatory framework, including a special segment on Section 16 reporting and compliance, coverage of FAS 123(R) and the newest tax regulations, including I.R.C. Section 409A.  Seasoned stock plan professionals join forces to offer their extensive experience, covering the critical details and recounting their "from-the-trenches" anecdotes.  

We use unique, yet proven, teaching methods for the Fundamentals.  Extensive materials lay a foundation of the basic stock plan principles and concepts and then build on that foundation to introduce increasingly more complex regulatory and administrative nuances, exceptions, and varying interpretations.  Attendees will acquire the knowledge necessary to analyze their own plans and determine where they fit into the standards and regulations. 
 

What We Cover:

• Characteristics, requirements, and tax treatment of non-qualified awards (options, restricted stock/units and SARs), incentive stock options, and employee stock purchase plans
• Recent changes in tax law, including Section 409A
• Accounting treatment of stock compensation – including an introduction to option valuation
• Securities law considerations, including registration requirements and Section 16 reporting
• Data reconciliation, maintenance, and safeguarding, along with administration processes and audit/control measures
• Record retention requirements, electronic communications and disaster recovery
• Best practices for accurate and efficient stock plan administration
• Overview of stock plan concepts, terminology, and functional interactions

Who Should Attend

Both new and seasoned stock plan professionals can benefit from this program, including:

• Stock plan administrators and managers
• Newly-public company CFOs and those responsible for equity compensation plans and accounting
• CEP candidates and CEPs seeking continuing education credits
• Service providers including client relationship managers, customer service representatives, consultants, and those involved in software business requirements, development and testing

Key Seminar Benefits

In addition to substantive and practical instruction, program attendees will receive:

• Comprehensive program materials, including model forms, checklists and other useful information
• The opportunity to meet and work with seasoned professionals who will share practical and effective solutions to everyday issues
• Opportunities to network with fellow attendees, share experiences and learn how other companies handle common problems
• Plan-to-practice questionnaires to help you understand your company’s plan requirements and turn them into effective administrative practices once you are back in the office

Continuing Education credits are available to program attendees. The NASPP is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417. Telephone: 615-880-4200. Web site: www.nasba.org.

Attendees who complete the program will be entitled to 16 CPE credits for Specialized Knowledge and Applications and 16.5 CEP continuing education credits.

About the NASPP

The National Association of Stock Plan Professionals is the premier professional association for individuals involved – directly or indirectly – in the design, implementation and administration of equity compensation plans and stock purchase plans. Our approximately 6,000 members are stock plan administrators, in-house securities and tax attorneys, accountants, HR professionals and compensation and benefits professionals as well as outside counsel, compensation consultants, software providers, brokers, third-party administrators, communications professionals and web-based services professionals.  Join the NASPP today or renew your membership.

Companies of any size—whether public or private, US-based or not—that are considering implementing a stock plan or that already have one in place are encouraged to explore the benefits of membership in the NASPP. Read our Eleven Good Reasons to join the NASPP today!