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Resources

Dispelling the Myth: Is a 3(16) Fiduciary Really Necessary?

Amber M. Lloyd, APA, CMFC, CFP®, ERPA | Fiduciary Issues |

Read the service provider 3(16) contract closely to see if you are really getting enhanced service and reduced liability for the expense. Learn More >

New IRS Program Offers Relief for Late Filers of Form 5500-EZ

Caryn P., QKA | Form 5500 |

The IRS has made available a pilot program for Form 5500 EZ filers to send in delinquent filings with no penalty. Learn More >

Coverage Testing When Spouses Each Own a Business

Controlled Groups |

When spouses each own separate, unrelated businesses, the presence of minor children can create a controlled group across both companies for coverage testing purposes. Learn More >

Update on the Application of the Defense of Marriage Act Ruling

Same Sex Marriage |

Recent IRS guidance provides details on amendment requirements and the effect of the Windsor decision on retirement plans. Learn More >

FINRA Issues Notice to Firms on IRA Marketing Practices and Rollovers

Investments |

Financial firm practices related to the marketing of IRAs are going to be subject to increased focus by FINRA in 2014. Learn More >

Vesting: A Look at Retirement Plan Ownership

Plan Design |

An important consideration in plan design is structuring the vesting schedule for the employer contributions. Learn More >

Required Employee Notices for 401(k) Plans

Andrea B., ERPA, QPA, QKA | Notices |

Employers must give employees various required notices during the year. Learn More >

Retirement Plan Committees for 401(k) and 403(b) Plans

Committees |

A retirement plan committee is responsible for making many of the decisions regarding the plan and its members are the primary named fiduciaries of the plan. Learn More >

MyRA

Margaret W., QKA | MyRA |

New Retirement Savings Account Option. Learn More >

Kentucky Child Support Laws and Retirement Plan Distributions

Kentucky State Law |

Employers may be required to report certain terminated employees to the state Child Support Office. Learn More >

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