IRS LESE Program and Compliance Questionnaire

IRS compliance programs provide employers with insight on focus areas for plan audit. Learn More >

Administering a Top Heavy Plan

Top heavy testing is performed each year to determine if the Key employees own a significant portion of the total plan assets. Learn More >

Understanding ADP and ACP Testing

ADP and ACP testing can be very complex. This article provides a high level overview of the important elements of the testing. Learn More >

Ensuring Participant 401k and loan repayments meet DOL regulations

Internal controls ensure contributions and loan repayments are deposited timely and accurately. Learn More >

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

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

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

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

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

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

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

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