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Tables of Contents for 401(K) Plans
Chapter/Section Title
Page #
Page Count
Introduction
vii
Introduction to 401(k) Plans
1
6
Overview of 401(k) Plans
1
1
History of 401(k) Plans
2
2
Eligible Plans
4
1
Summary
5
1
Chapter Review Questions
5
2
Advantages of A 401(k) Plan
7
10
Advantages for the Employee
7
5
Advantages for the Employer
12
2
Advantages for the Financial Services Professional
14
1
Summary
15
1
Chapter Review Questions
15
2
Plan Design, Qualification and Contribution Requirements
17
12
Plan Design
17
1
Qualification Requirements
18
4
Contribution Requirements
22
4
Summary
26
1
Chapter Review Questions
27
2
Distributions
29
12
Reasons for Plan Distributions
29
3
The Age Factor
32
1
Premature Distributions
33
1
Taxation of Distributions
33
2
Rollovers
35
2
Penalty Taxes
37
1
Summary
38
1
Chapter Review Questions
38
3
Plan Loans
41
6
Basic Rules Governing Plan Loans
41
1
Maximum Loan Amount
42
1
Repayment of the Loan
42
2
Summary
44
1
Chapter Review Questions
44
3
Plan Investment Requirements
47
10
Section 404(c) Overview
48
1
Section 404(c) Requirements
48
6
Summary
54
1
Chapter Review Questions
54
3
Marketing 401(k) Plans
57
12
Getting Started
57
1
Making a 401(k) Presentation
58
9
The Compliance Department
67
1
Summary
67
1
Chapter Review Questions
67
2
Plan Installation
69
6
Writing the Plan
69
2
Presentation and Enrollment
71
1
Advance Determination
72
1
Summary
72
1
Chapter Review Questions
72
3
Plan Administration
75
10
Administration Overview
75
1
Reporting and Disclosure Requirements
76
4
Fiduciaries
80
2
Safe Harbors
82
1
Summary
82
1
Chapter Review Questions
82
3
Simple Plans
85
10
What Is a Simple Plan?
85
1
Creating a Simple Plan
86
1
Contributions
87
2
Distributions
89
1
Reporting Requirements
89
3
Summary
92
1
Chapter Review Questions
93
2
Appendix A Sample 401(k) Plan
95
28
Appendix B 401(k) Plan Sample Employee Communications Material
123
10
Answer Key to Chapter Review Questions
133