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FINRA Issues Notice to Firms on IRA Marketing Practices and Rollovers

Investments | April 10, 2014

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 | April 10, 2014

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 | April 10, 2014

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

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

Committees | February 28, 2014

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 | February 28, 2014

New Retirement Savings Account Option. Learn More >

Kentucky Child Support Laws and Retirement Plan Distributions

Kentucky State Law | January 30, 2014

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

Highly Compensated Employees and Key Employees

Highly Compensated and Key Employees | January 30, 2014

How are HCEs and Keys defined and what tests are based on these classifications of employees? Learn More >

Advantages and Disadvantages of a 1042 Election

Amber M. Lloyd, APA, CMFC, CFP®, ERPA | ESOPs | January 30, 2014

A 1042 Election can have significant tax advantages for the seller to an ESOP, but there are strict requirements related to this election, as well. Learn More >

Promoting Success with Employee Stock Ownership Plans

Amber M. Lloyd, APA, CMFC, CFP®, ERPA | ESOPs | November 27, 2013

Some feel that in the coming decades the ownership to be promoted will be an employee’s ownership in his or her employer – through Employee Stock Ownership Plans (ESOPs). Learn More >

Tax Consequences of Plan Disqualification

Disqualification | October 19, 2013

If a plan is determined to be disqualified by the Internal Revenue Service (IRS), more than just the employer is affected. Learn More >

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