Pension And Profit-Sharing Plan Strategies

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Online registration for this course is now closed. Please contact the Member Service Center at
(800) 342-3197 if you wish to inquire about registering.

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8.0 Credits

Gain practical knowledge of tax-qualified retirement plans and strategies that will help practitioners better advise clients on the most appropriate options for their businesses.

This course covers defined benefit plans, defined contribution plans, and combination designs to optimize benefits to business owners and help acheive specific client goals. We will also discuss safe harbor 401(k) plans, allowable contributions, deductions, allocation methods and more.

Learn key planning considerations, such as eligibility, vesting, and participant loans; Form 5500 reporting and participant disclosure issues; plan fiduciary considerations, and review the legislative environment.

Materials are provided as an ebook.


  • Determine appropriate plans for your clients.
  • Identify administration and compliance issues.
  • Recognize fiduciary risk management.
  • Recognize key income tax issues related to plan funding.
  • Identify problematic plans and potential pitfalls.
  • Identify and review types of retirement plans: defined benefit, profit sharing, traditional Sec. 401(k), safe harbor 401(k), Roth Sec. 401(k) and employee stock ownership.

Major Topics

  • Types of documents: advantages and disadvantages, where they fit and plan termination issues
  • Types of retirement plans
  • Plan selection and design
  • Contribution and deduction limits and timing
  • Sec. 404(c) compliance
  • Reporting and disclosure: Form 5500 and participant communications
  • Legislative environment
  • In-plan Roth conversions

Designed For

CPAs, attorneys, human resources and financial professionals.


Basic knowledge of qualified retirement plans.

Advanced Preparation