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ERISA §403(b) Plan

The Legend Group/ADSERV partners with industry leaders such as CPI, General Pension Planning, PenServ and Security Benefit to offer a comprehensive array of services that have enabled numerous organizations to better manage their retirement programs and ensure compliance with government regulations.
View §403(b) plan support services 
The Legend Group/ADSERV's partners' recordkeeping and compliance services can effectively reduce an employer's risk of non-compliance with the rules and regulations affecting their plans.
Our administrative partners can:
  • Provide a written plan document conforming to the provisions of the Final Regulations
  • Monitor optional features that are adopted in an employer's plan, including loans, plan-to-plan transfers and exchanges
  • Monitor each vendor's adherence to the distribution restrictions
  • Monitor contribution limits and vendors' adherence to the prescribed treatment of excesses
  • Review and approve Qualified Domestic Relations Orders
  • Provide guidance on compliance with the Universal Availability requirements
  • Review annuity contracts and custodial agreements for appropriate §403(b) language
  • Provide extended cooperation and administrative support in the event of an IRS audit
  • Provide Maximum Annual Contribution (MAC) Calculations
Visit Legend's §403(b) Regulations website 
Eligible Employers
Educational institutions, churches and §501(c)(3) organizations
Eligible Employees
The Plan must allow all employees except those working less than 20 hours/week to participate

The Plan must include all employees who work at least 20 hours/week (1,000 hours/year) as eligible to receive employer contributions
Elective Deferral Limit
The lesser of 100% of the participant’s compensation or $17,000 in 2012
Over Age 50 Catch-Up
$5,500 in 2012 (may not be offered under all employer plans)
Other Catch-Up Available
A catch-up of $3,000 ($15,000 lifetime cap) is permitted with 15 years of service with the current employer. The participant must have averaged less than $5,000 in §403(b) annual contributions over his or her career with the current employer.

This feature is available only to employees of educational institutions, hospitals, churches, home health agencies and health & welfare agencies (may not be offered under all employer plans)
Employer Contributions
A maximum contribution of 100% of the participants' salary with the annual additions maximum (employer and employee contributions combined) capped at $50,000 in 2012 ($55,500 with Over Age 50 Catch-up)
Taxation
Pre-tax contributions are taxed when paid out to the participant

Roth contributions are tax-free if paid out as qualified distributions (after five years have elapsed since the first Roth contribution was made and the participant has attained age 59½)
Loans1
Participants may take a loan of one half of the account value up to $50,000

Loans are an optional plan feature and must be qualified on an employer plan basis
Hardship Distributions
Participants may take distributions if the participant meets the guidelines established under §401(k) rules (optional plan feature)
In-Service Distributions
Participants may take distributions at the attainment of age 59½ (optional plan feature)

If the plan includes a Roth §403(b) option, the plan might also allow participants who have attained age 59½ to roll assets held in a traditional §403(b) account into a Roth §403(b) account. A tax liability will be incurred for the taxable year the assets were removed from the traditional §403(b).

Participants may take distributions from amounts rolled over from other eligible retirement accounts that have been separately accounted for (optional plan feature)
Exchanges
Participants may exchange accounts from one approved §403(b) vendor to another approved vendor (optional plan feature)
Transfers to & from Plan
Participants may transfer accounts from one employer’s §403(b) plan to a new employer’s §403(b) plan if both plans have provisions allowing the transfer (optional plan feature)
Rollovers into Plan
Participants may rollover distributions from other eligible retirement accounts into the employer’s §403(b) plan (optional plan feature)
Premature Penalty
Applicable on distributions taken prior to age 59½ unless the participant meets the age 55 exception (retires in year age 55 is attained or later)
Required Minimum Distributions
A participant must begin taking distributions at the later of the attainment of age 70½ or retirement. The first minimum distribution must be taken by April 1st of the year following the year containing this triggering event.


1Defaulting on a loan from a retirement plan constitutes a distribution from that plan.
Loans may affect cash values and death benefits.

Distributions from a retirement plan may be subject to federal income tax in the year
distributed and may incur an additional 10% penalty if the participant is under age 59½.

Legend Equities Corporation and its affiliates do not provide tax information or advice.