Equity Compensation Strategies

A guide for professional advisors

A guide for professional advisors

The 2014 edition of this book is now available. It includes major updates relating to changes in income tax rates and how the Medicare tax on net investment income affects stock option strategies.

Equity Compensation Strategies is a book for financial advisors and other professionals. It explains how to formulate, evaluate and implement sound strategies for clients who receive stock options and other forms of equity compensation.

This is a dual purpose book, suitable for use as a guide or reference in formulating strategies, or for use in a course of study to establish competency. At this time we are unable to offer continuing education credit, however.

Topics covered

The book focuses mainly on stock options (nonqualified stock options and incentive stock options) but also covers related forms of equity compensation: restricted stock, restricted stock units, employee stock purchase plans and stock appreciation rights. It covers economic issues such as concentration risk and option harvesting, and also provides guidance on formulating and evaluating tax strategies. Complicated areas such alternative minimum tax are covered thoroughly but in clear language that makes key concepts accessible to all advisors, including those who have only a general background in taxation.

Course of Study

This book includes features making it suitable for use in a course of study.

  • Each chapter lays out specific learning objectives, explains the subject matter in clear language and provides a summary of the key points.
  • Study questions appear at the end of each part of the book, with answers and explanations in the back, keyed to the section of the book covering that item of information.
  • Exams are available for those who want to demonstrate their understanding of the material. A processing fee applies when answer are submitted for grading.

We welcome inquiries from organizations interested in adopting Equity Compensation Strategies as a course of study for people who need expertise in this subject. Organizations that have used it for this purpose include Merrill Lynch, Fidelity Securities, UBS Financial Services, Securities America, and Ameriprise Financial.

Exams

Information about exams is available here.

About this edition

The 2014 edition is the fourth edition of this book. It reflects legal authorities as of October 31, 2013.


Equity Compensation Strategies: A guide for professional advisors
by Kaye A. Thomas
Fairmark Press Inc.
2014 edition published November 2013
Trade paperback, 336 pages
ISBN 978-1-938797-03-3
$95.00