Frequently Asked Questions

American Institute of Retirement Education, LLC (AIRE, LLC)
ASPPA Benefits Councils (ABCs)
ASPPA College of Pension Actuaries (ACOPA)
ASPPA Discussion Forums
ASPPA Pension Education and Research Foundation, Inc. (ASPPA PERF)
ASPPA Plan Administrators Policy Alliance (APAPA)
ASPPA Recordkeeper Certification
Bookstore
Conferences
Continuing Education (CE)
Council of Independent 401(k) Recordkeepers (CIKR)
Enrolled Retirement Plan Agent (ERPA)
Examinations
Government Affairs
Membership
National Association of Independent Retirement Plan Advisors (NAIRPA)
National Tax Sheltered Accounts Association (NTSAA)
Political Action Committee (PAC)
Professional Services Directory
Publications
Volunteering
Webcasts

American Institute of Retirement Education, LLC (AIRE, LLC)

What is AIRE, LLC?

AIRE, LLC is an exclusive partnership of two retirement plan associations with extensive, all-encompassing industry experience – the American Society of Pension Professionals & Actuaries (ASPPA) and the National Institute of Pension Administrators (NIPA). From examination development to credentialing, continuing education, association management and advocacy efforts, AIRE, LLC is unparalleled in the industry. AIRE, LLC was awarded the contract by the Internal Revenue Service to administer the examination program for the Enrolled Retirement Plan Agent designation.

What preparatory materials are available for candidates preparing for the Enrolled Retirement Plan Agent – Special Enrollment Examination (ERPA-SEE)?

In preparing for the ERPA-SEE, candidates may refer to the Internal Revenue Code, Circular 230, IRS publications, as well as IRS tax forms and accompanying instructions found on the IRS Web site. Additional materials include:

• ERPA-SEE Syllabus – Includes an overview each of the two examination parts of the ERPA-SEE, topics on each of the examination parts and corresponding learning objectives.
• The ERISA Outline Book by Sal L. Tripodi, APM, J.D., LL.M., is the recommended reference text for the ERPA-SEE.
• ERPA-SEE Expanded Syllabus – A downloadable PDF that serves as a guide and directs the candidate to exactly what information to study for the ERPA-SEE. The study guide is divided by topics and each topic contains learning objectives, examination topic weightings, recommended reading with cite references to The ERISA Outline Book, and sample topic questions.
• ERPA Practice Examinations – Practice examinations for Parts I and II of the ERPA-SEE are downloadable PDF publications that contain 75 questions, along with an answer key, to help candidates prepare for the respective ERPA exam parts. Each sold separately.
• ERPA Review Courses – Two Review Courses, one for each of the ERPA examination parts, offered via a streaming download over the Internet. The courses are designed to address the most challenging topics covered on corresponding ERPA-SEE parts. Each of the two Review Courses is separated into five one-hour online learning sessions by grouping two to three ERPA-SEE topics together for a total of five hours of review for each course. Candidates can purchase Review Courses sessions separately in one-hour segments or purchase the entire five-hour Review Course. Discounts are offered for course set purchases.

How do I order the Review Courses, Study Guide or Practice Exams?

There are three ways to order:

1. Online – Register online over a secure network and receive immediate confirmation and access. Credit card payments accepted (MasterCard, Visa, American Express and Discover).
2. Fax – Download the order form and fax the completed order form to 1.866.450.4678. Credit card payments accepted (MasterCard, Visa, American Express and Discover). You will receive an e-mail containing instructions for accessing the Review Course sessions, Expanded Syllabus or Practice Examinations within six to ten business days following receipt of the order.
3. Mail – Download the order form and mail the completed order form with payment to: AIRE, LLC, PO Box 34736, Alexandria, VA 22334-0736. Credit card, check or money order payments are accepted. Once an order is received, you will receive an e-mail containing instructions for accessing the Review Course sessions, Expanded Syllabus or Practice Examinations within six to ten business days following receipt of the order.

What topics are covered on the Review Course sessions?

ERPA-SEE Part I: Compliance and Operational Issues includes the following Review Course session topics:

• Session 1-1: Introduction to Qualified Plans; Participation, Coverage and Vesting; Controlled and Affiliated Service Groups and Leased Employees
• Session 1-2: Contributions, Allocations, and Benefit Formulas; Accrual Rules
• Session 1-3: Limitations on Benefits, Contributions and Compensation; Deduction and Funding Rules
• Session 1-4: General Nondiscrimination Testing; Top-Heavy Testing
• Session 1-5: ADP/ACP Testing; Safe harbor Plans and Automatic Enrollment; Annuity Plans

ERPA-SEE Part II: Plan Documents, Reporting and Distribution Issues includes the following Review Course session topics:

• Session 2-6: Plan Documents and Amendments; Participant Communications
• Session 2-7: Distributions; Annuity Requirements and Spousal Consent
• Session 2-8: Rollovers; Death Benefits and Beneficiaries; Participant Loans; QDROs
• Session 2-9: Plan Audits and Correction Programs; PBGC Issues; Prohibited Transactions; Plan Terminations
• Session 2-10: Government Filings, Submissions and Guidance; Ethics and Professional Responsibility

Are there discounts available for the Review Course sessions?

Yes. Candidates can purchase Review Course sessions separately in one-hour segments for $75 each or purchase the entire five-hour Review Course sessions as a package for only $325.

Are the Review Course sessions, Expanded Syllabus and Practice Examination costs refundable?

The fees are nonrefundable.

How do I access the Review Course sessions?

After purchasing the Review Course sessions, you will receive an e-mail with instructions and a user ID and password to access the Review Course sessions online. In addition, purchased Review Course sessions will be listed on your MyERPA page.

How long do I have access to the Review Courses sessions?

Six months from the date of purchase.

Can I download the ERPA-SEE Review Courses for use offline?

No. Due to intellectual property rights, the review courses are designed to only be accessible via the Internet. Review Courses cannot be saved to your computer for access at a later date. In order to access the review courses you purchased, you must first log into your MyERPA page, then click the link on your profile for the review course you wish to view. Please note that pdfs of each review course is available online for download after purchase.

How do I access the ERPA-SEE Expanded Syllabus?

After purchasing the ERPA-SEE Expanded Syllabus, access the Expanded Syllabus online via your MyERPA page.

How do I access the ERPA-SEE Practice Examination(s)?

After purchasing the ERPA-SEE Practice Examination(s), access the practice examination(s) online via your MyERPA page.

How long do I have access to the ERPA-SEE Expanded Syllabus or Practice Examination(s)?

Access is available immediately via your MyERPA page and you can save the file to your computer.

Who do I contact if I encounter technical issues when viewing the Review Course sessions or downloading the ERPA-SEE Study Guide or Practice Examination(s)?

If technical issues arise, please contact AIRE, LLC Customer Support at customerservice@erpaexam.org or call toll-free 866.779.4390 (outside US call +1.703.516.0491).

Can I earn continuing education credits by taking the ERPA exam parts?

ASPPA offers 20 CE credits for the successful completion of each exam part. Please check with your credentialing organization for additional CE offered.

How do I sign up to learn more about the ERPA program preparatory materials, examination registration, etc.?

If you are interested in receiving updates about the ERPA program, registration deadlines, educational opportunities, etc., create an account via the ERPA exam website. Updates will be sent as they become available. If you register for the ERPA-SEE, you will automatically receive these updates.

Where do I find more information about the ERPA-Special Enrollment Examination?

Detailed information on the ERPA-Special Enrollment Examination can be found in the ERPA-SEE Licensure Information Bulletin (http://www.erpaexam.org/pdfs/ERPASEE-LicensureBulletin.pdf) and the ERPA Exam Web site (http://www.erpaexam.org/).

ASPPA Benefits Councils (ABCs)

How do I find a local ABC in my area?

Visit the ASPPA Web site, select the dropdown “Partners & Affiliates” and select “ABCs.”  The ABC Web page lists all available ABCs and provides links for more information on each individual ABC.

Can I start a new ABC?

Yes, you can. There are requirements that must be met, including a strong interest by retirement professionals in the area. Contact Jennifer Schuster at  jschuster@asppa.org for more information.

What do ABCs do?

ABCs serve as a professional resource for local retirement personnel.
Attending an ABC meeting gives the participant a chance to earn CPE credit(s), to keep up to date with the marketplace, to network and to learn new things. ABC meeting attendees have the opportunity to hear both local and national speakers.

Who should I contact with questions regarding an ABC or an ABC meeting or event?

The contact information for each ABC is listed on the ASPPA Web site.  Visit http://www.asppa.org/, select the dropdown “Partners & Affiliates” and select “ABCs.”

What are the costs associated with attending an ABC meeting or event?

The costs for ABC meetings and events are determined by the individual ABCs. Since the length of a seminar or the expense of a particular speaker can vary, the cost may vary from event to event and from ABC to ABC.

Can I use the CPE credits that I earned at an ABC meeting or event for non-ASPPA credentials?

An attendance verification form is given out after every ABC meeting and event. Determination of acceptance of the CPE credit by a non-ASPPA organization is the responsibility of the individual.

How do I get on a mailing list for ABC events?

Visit the ASPPA Web site at http://www.asppa.org/ and create an account. Be sure to include your e-mail address and your phone number. If your phone number is not in an area close to the ABC you wish to affiliate with, please contact the ASPPA office at customersupport@asppa.org and we will make sure that your record gets pulled for communications about that particular ABC.

I am a member of an ABC. Does that mean that I am an ASPPA member?

No. ABC membership does not automatically provide you with ASPPA membership. If you are an ASPPA member, however, additional discounts will be provided for ABC meetings and events.

Do ABCs offer CPE opportunities that fulfill the ethics requirement for ASPPA CPE?

Some ABCs do offer meetings and events that qualify for the ASPPA CPE ethics requirement.

ASPPA College of Pension Actuaries (ACOPA)

What is ACOPA?

The ASPPA College of Pension Actuaries (ACOPA) is a semi-autonomous operating unit within ASPPA.  All credentialed actuarial members of ASPPA are members of ACOPA. ACOPA is the primary source of professional organizational support for pension actuaries, and is charged with carrying out ASPPA’s responsibilities as one of the recognized US-based actuarial organizations. 

What are ACOPA’s responsibilities?

ACOPA is responsible for identifying and addressing the professional development needs of the actuarial membership of ASPPA, including maintaining the actuaries-only listserve, and offering conferences focused primarily on the needs of actuaries. ACOPA has primary responsibility for the content of comment letters that involve actuarial issues, accomplished through appointing members of the Defined Benefit Subcommittee of the ASPPA Government Affairs Committee, and preparing formal comments, position papers or other relevant pronouncements that involve regulating authorities outside of the Treasury, IRS, DOL, PBGC or SEC (such as FASB).

How is ACOPA governed?

ACOPA is governed by a Leadership Council elected by its membership. For information on the current leadership, go to: www.asppa.org/Main-Menu/partners/ACOPA/ACOPA-Leadership.aspx. For a description of the election process, go to: www.asppa.org/Main-Menu/partners/ACOPA/ACOPA-Elections.aspx.

Am I a member of ACOPA?

All credentialed actuarial members of ASPPA (MSPAs or FSPAs) are members of ACOPA. If you are an enrolled actuary, but are not currently a member of ACOPA, you can apply for membership by completing the application found at: www.asppa.org/Document-Vault/PDFs/ACOPA/ACOPA-APPLICATION.aspx.

I am an actuary and an affiliate member of ASPPA. Why can’t I join the ACOPA listserve?

You must be a credentialed actuarial member (MSPA or FSPA) to belong to ACOPA, and be eligible to participate in the ACOPA listserve. If you are an enrolled actuary, you can upgrade your affiliate membership to credentialed member status by completing an upgrade application (and paying the additional dues required for full membership). (Note: Only non-governmental actuaries may join the listserve.)

I have additional questions regarding ACOPA. Who can I contact?

Send an e-mail to asppacollegeofpensionactuaries@asppa.org or call the ASPPA office at 703.516.9300.

ASPPA Discussion Forums

What are the ASPPA Discussion Forums?

The online ASPPA Discussion Forums provide a means for ASPPA members to exchange technical information, questions and ideas relating to the retirement industry.

Am I eligible to participate in the ASPPA Discussion Forums?

All active ASPPA members can participate in the online ASPPA Discussion Forums.

How do I access the ASPPA Discussion Forums?

To access the online ASPPA Discussion Forums, please follow these steps:

1. Visit the ASPPA Web site at http://www.asppa.org/.
2. Log into the site using your member User ID and password.
3. Select the link titled “ASPPA Discussion Forums.”
4. To participate in the ASPPA Discussion Forums you must first Opt-In.
5. Select the forum you want to use by selecting the link to the right of the corresponding folder. This will take you to a Web page that provides all the topics of discussion that have transpired within the forum.
6. You may click on any of the topics (threads) to view postings and responses.
7. While in a thread, you may reply (post) or start a new topic (thread) within the current forum.
8. You may also search all or a particular forum by key words or phrases.
9. You may select from the following free e-mail (subscriptions) options for each forum:
   Mail: Receive messages as they are contributed. An e-mail will be sent out immediately.
   Digest: One daily message with all the contributions for that day will be sent nightly.
   No Mail: Do not receive e-mail from any or all forum lists (currently default).

ASPPA Pension Education and Research Foundation, Inc. (ASPPA PERF)

What is ASPPA PERF?

ASPPA PERF was chartered in the District of Columbia in 1976 as a nonprofit charitable foundation under Internal Revenue Code §501(c)(3). The purpose of ASPPA PERF is to foster excellence in pension education and to promote scholarly research in the pension field. To accomplish these aims, ASPPA PERF provides endowments to educational institutions for the granting of scholarships to qualified students majoring in Actuarial Science who are seeking assistance with tuition and expenses. It also sponsors the development of educational materials and texts as well as research by making grants of funds for approved projects.  ASPPA PERF sponsors the Martin Rosenberg Academic Achievement Award, the ASPPA Presidential Scholarship and the Ed Burrows Memorial Fund.

How can I make a contribution to ASPPA PERF?

Contributions can be made by credit card to either the general ASPPA PERF fund or the Ed Burrows Memorial Fund. To make an ASPPA PERF contribution, visit www.asppa.org/sp/asppaperf.aspx.

ASPPA Plan Administrators Policy Alliance (APAPA)

What is APAPA?

APAPA is a unique membership division of ASPPA exclusively for TPA firms. The purpose of APAPA is to provide an organizational structure through which member firms can share common concerns and become more politically active in preserving the private pension system. APAPA members will benefit from recognition and networking, policy input and special educational opportunities.

What are the benefits of APAPA membership?

• Recognition and Networking – As a separate organization under the ASPPA umbrella, APAPA is an exclusive opportunity for firms engaged in the business of designing and administering retirement plans. The business owner or senior executive will participate in APAPA activities on the member firm’s behalf. Benefits include special meetings, conference calls and other APAPA activities and communications, including enhanced relationships among member firms and with the ASPPA staff.
• Policy Input – APAPA will schedule regular bi-monthly conference calls. While the subject matter will vary, the primary focus will be current developments in Washington and activities of ASPPA’s Government Affairs Committee (GAC). When relevant, guest speakers will join the calls and add to the discussions—usually an appropriate technical review of new guidance from the IRS, DOL or other relevant body. APAPA members will also be actively solicited for input on policy positions taken by GAC. This process will greatly benefit member firms as well as provide invaluable input to GAC. Craig P. Hoffman, APM, ASPPA General Counsel/Director of Regulatory Affairs, acts as a liaison between APAPA and the Government Affairs Committee.
• Educational Opportunities – In addition to bi-monthly calls, APAPA member firms will be invited to an exclusive half-day meeting immediately following the ASPPA Annual Conference. The program, moderated and mentored by Craig Hoffman, will include policy discussions and technical matters raised during the conference. A policy guest from Capitol Hill, such as a key staffer, could be invited for the “inside” story. The program includes lunch and will adjourn by 5:00 p.m. Participation in this special session should not require additional expense for anyone already attending the ASPPA Annual Conference.

Is my firm eligible to join APAPA?

Firms are eligible to join APAPA if the organization’s primary business is retirement plan design and administration and the firm employs at least one ASPPA member. Each APAPA member firm would be represented by its owner (or a “senior” executive).

How much does it cost to join APAPA?

The cost to join APAPA is an annual contribution of $1,000.  The annual contribution includes registration for the half-day meeting following the ASPPA Annual Conference.

Who are the members of APAPA?

Visit www.asppa.org/Main-Menu/partners/APAPA/APAPA-Members.aspx for a full list of APAPA members.

I have additional questions regarding APAPA. Who can I contact?

Send an e-mail to Craig P. Hoffman, APM, ASPPA General Counsel/Director of Regulatory Affairs, at choffman@asppa.org or call the ASPPA office at 703.516.9300.

ASPPA Recordkeeper Certification

How do I get my firm signed up for the certification process?

You should contact one of the CEFEX Qualified Auditors (www.asppa.org/Home-Page/rkcert/cefexqualifiedauditors.aspx) by phone or e-mail. Request a planning kit, which will describe the activities needed to apply for ASPPA’s certification.

What are the main characteristics of the three classifications of recordkeeper business models (service classes)?

Service Class I – Scope: Full-service recordkeeping including investments and administration services.
Bookkeeping for retirement plans’ trading transactions and individuals’ accounts (the major activity in recordkeeping) is bundled along with the firm’s other proprietary fiduciary support services that include, but are not limited to, investment options such as mutual funds and separate accounts, trading and cashiering, asset custody, transfer agency, trust, participant enrollment and investment advice. Plan compliance and administration services may also be offered.

Service Class II – Scope: Full-service recordkeeping and third party administration services, through multiple alliances.
Bookkeeping for retirement plans’ trading transactions and individuals’ accounts is performed in house. In order to offer a complete service to fiduciary organizations, firms in this service class are allied with one or more other firms that deliver such services as investment options, asset custody, trust and investment advice. Plan compliance and administration services may also be offered.

Service Class III – Scope: Third party administration services.
Firms in this service class do not provide bookkeeping services for trading transactions. The main services provided are focused on compliance testing against relevant pension and tax laws and filing of government reports such as Form 5500, along with other plan administration functions. Third party administrators fall in this class.

What are the best practices that the ASPPA Recordkeeper Certification requires?

The ASPPA Recordkeeper Certification program supports a total of 17 best practices with 72 related supporting criteria. A complete list can be found here.  We recommend that you discuss these practices with the certified independent auditing firm to ensure proper understanding of the requirements.

If I already have an SAS70 certification, do I still need the ASPPA Recordkeeping Certification?

Yes. An SAS70 certification focuses specifically on information technology and transaction processes. Most importantly, it is a certification that is conducted to meet the needs of the accounting industry. The ASPPA certification process is developed specifically for our industry and reviews a much broader range of business aspects of a recordkeeper firm. (However, if a firm has a SAS70 Type II certification, it will likely expedite the review process for certain aspects of the ASPPA Recordkeeper Certification.) The following chart outlines some of the differences of the two certification programs:

	ASPPARK	SAS70
Qualifies industry self-regulated status	YES	NO
Defined standard based on regulatory pressure points	YES	NO
Audit methodology equally applied to all biz models	YES	NO
Audit focuses on overall organizational processes	YES	NO
Inspects disclosures and conflicts of interest	YES	NO

Audit considers other assessments/audits

YES

NO

Central cmte. decides pass/fail on a uniform approach

YES

NO

Can company support a fiduciary org.'s legal duty?

YES

NO

What are the most common pitfalls that firms experience when undergoing an Assessment for the ASPPA Recordkeeper Certification program?

Based on the Assessments completed this far, the most likely practices that will produce NCRs (non-conformity reports) include the following: lack of evidence of business planning by a candidates’s senior management; insufficient or non-existent succession planning; and incomplete disclosure of fees charged to a recordkeeping firm’s “administered vehicle,” which includes retirement plans, public pensions, endowments and other charitable organizations.

What type of Assessment methodology is used for the audit process?

The Assessment methodology developed by Roland|Criss, a certified independent auditor, adheres to the audit standard for quality management systems defined in ISO 19011. This standard is the very same method used to determine the qualifications of candidates for ISO 9001 certification. A major advantage in using the ISO approach is the undisputed independence that it applies to Assessments. In addition, its rigid structure ensures that every Assessment is conducted without deviation. In other words, every candidate gets the same treatment within its business model type. The methodology used in an Assessment is the independent, standardized and well-tested system that federal regulators want. It is customized for each of the industry's three types of business models.

How often should I get certified?

Annually. After achieving initial certification, a firm should re-apply for certification on an annual basis. The preparation and cost of re-certification is significantly less than a first year certification.

Once a firm earns the ASPPA Recordkeeper Certification, how is the achievement publicized?

Firms that obtain the ASPPA Recordkeeper Certification are recognized through a press release issued by ASPPA, identified at the many events ASPPA sponsors as well as listed on the ASPPA Web site as a certified firm (www.asppa.org/Home-Page/rkcert/certifiedfirms.aspx).

Bookstore

What are my options for placing a publications order?

There are three ways to order publications from ASPPA: 1) online via the ASPPA Bookstore (www.asppa.org/bookstore); 2) by mailing a publications order form (www.asppa.org/Document-Vault/PDFs/EE/pubs-order-form.aspx) to: ASPPA-Publications, PO Box 34725, Alexandria, VA 22334-0725; or 3) by faxing a publications order form to ASPPA at 703.516.9308.

How will I know that my order has been processed?

You will receive an e-mail confirming your order.

How do I place an expedited order?

You must place your expedited order by 1 p.m. ET for shipping to occur on the same day. To place an expedited order, you must fax a completed publications order form (www.asppa.org/Document-Vault/PDFs/EE/pubs-order-form.aspx) to 703.516.9308.You may also place your order online through the ASPPA Bookstore (www.asppa.org/bookstore). Orders received after 1:00 p.m. ET will be shipped the following day via second day delivery.

Is international shipping available?

Yes, simply indicate international shipping on the publications order form (www.asppa.org/Document-Vault/PDFs/EE/pubs-order-form.aspx) or when placing your order online through the ASPPA Bookstore (www.asppa.org/bookstore). Delivery time will depend on the country of destination and courier service. The shipping fee will be 20% of the order total.

When should I expect to receive my order?

Ground: approximately 10 to 14 days; Ground Rush: approximately 5 to 7 days; Air Rush Second Day: 2 days (order must be placed by 1 p.m. ET); and Overnight: next day (order must be placed by 1 p.m. ET).

What happens if an item is out of stock?

Items on backorder are available within 30 days of purchase. As soon as the item becomes available, it will be shipped via the shipping method you chose when you placed your order. If the product is not available within 30 days of purchase, you will receive a refund.

What is the return policy?

Most items (see below for exceptions) may be returned for a refund minus a 10% restocking/order cancellation fee within 30 days of purchase provided the condition of the item is unused. Refunds are issued only upon receipt of items in the ASPPA Book Department and after the condition of items have been confirmed. Shipping costs are not refunded.

Which items cannot be returned?

Returns are not accepted for any electronic documents, including all PDF documents and the Online Version of The ERISA Outline Book.

How do I return an item?

Returns of the printed edition of the ERISA Outline Book only must be sent to:
Fulfillment c/o Omnipress
ASPPA
2600 Anderson Street
Madison, WI 53703

All other returns must be sent to: ASPPA Returns, 9 Jay Gould Ct, Waldorf, MD 20602. Returns sent to any other address may have a rerouting fee applied.

How do I access an electronic publication or PDF document once I order it?

To access electronic publications, visit www.asppa.org/access-electronic-publications. You must have an ASPPA account to access and download your publications. After logging into the Web site, you will see a list of all of your available downloads.

When will I receive access to the online edition of The ERISA Outline Book?

Purchasers of the online edition The ERISA Outline Book will receive log-in information via e-mail within three to five business days after order receipt.

Does ASPPA offer discounts on publications?

A 10 percent discount* is available on orders of 10 to 19 copies of the same publication shipped and billed to a single contact. A 20 percent discount* is available on orders of 20 or more copies of the same publication, so long as it is shipped and billed to a single contact.

*Discounts do not apply if orders occur separately. Discounts do not apply to The ERISA Outline Book, RPF Courses (PDF format only) or practice examinations. To receive the discount, please contact ASPPA Customer Support at 703.516.9300 between 8:30 a.m. and 5:30 p.m. ET. Discounts are not available on orders placed online.

Conferences

How do I register for an ASPPA conference?

There are four methods of registration for an ASPPA conference:

1. Online – Registrations may be processed on the ASPPA Web site with credit card payment only. Registrants receive immediate e-mail confirmations. 
2. E-mail – Scanned registration forms with credit card payment only can be e-mailed to customersupport@asppa.org.
3. Fax – Registration forms with credit card payment only can be faxed to 703.516.9308. 
4. Mail – Hard copy registration forms with check payments may be mailed to ASPPA, PO Box 34725, Alexandria, VA 22334. Express/overnight deliveries may be sent to ASPPA, 4245 Fairfax Dr Ste 750, Arlington, VA 22203. Please make checks payable to ASPPA.

Are ASPPA conference registrations refundable or transferrable?

If a written request for cancellation is received by the last day of regular registration, the full registration fee will be refunded minus a $100 processing fee. After the last day of regular registration, registrations are not refundable, but can be transferred to another individual at any time, even on-site. No refunds will be made for no-shows. E-mail customersupport@asppa.org to request a refund or to make changes to your registration.

Are discounts available if more than one individual member from my company registers for an ASPPA conference?

Most ASPPA conferences offer some type of discount for multiple registrations from the same company. To qualify for “additional participant” or “additional member” rates, registrants must be from the same firm and all registration forms must be submitted together, with payment, by the early registration deadline. To receive the discounted rates when registering online, all registrations must be made in one transaction.

Are audio recordings of ASPPA conference sessions offered?

Most ASPPA conferences sessions are recorded. When audio recordings are available, conference registrants will receive online access to MP3s of session recordings and presentations.

How do I obtain the materials for an upcoming ASPPA conference?

Before an ASPPA conference, registrants will receive a link and a password to access conference outlines online.  Outlines may be printed or downloaded prior to the conference. Access to ASPPA conference materials is only available to those who register to attend the conference.

Are ASPPA conference attendee lists available?

Attendee lists are typically available on-site at the ASPPA conference registration desk. To respect the privacy of ASPPA conference attendees, electronic copies of the attendee lists are not available.

How can I become a speaker at an ASPPA conference?

If you would like to volunteer to speak at an ASPPA conference, visit www.asppa.org/document-vault/forms/conf-suggestion.aspx to fill out and submit the Web form.

Who do I contact if I am interested in sponsoring or exhibiting at an ASPPA conference?

For information on sponsoring or exhibiting at an ASPPA conference, please contact Fred Ullman, Director of Sales, 703-516-9300 ext. 113 or fullman@asppa.org.

How do I obtain non-ASPPA continuing education (CE) credit for attending an ASPPA conference?

ASPPA will apply for pre-approval of ASPPA conferences for various types of CE credit at the attendees’ request if the application process and fees are not prohibitive. For other types of continuing education credit, including CLE, CFP or state insurance credit, please email the conferences department at conferences@asppa.org at least 45 days prior to the conference to submit your request for approval.

Continuing Education (CE)

Does ASPPA have any continuing education requirements?

All credentialed members are subject to ASPPA’s CE requirements and must complete the credit requirements by the end of every two-year cycle in order to maintain ASPPA credentials.


How many hours of CE do I need to maintain my credential(s)?

Those who hold the CPC, QPA, QKA, QPFC, TGPC and/or APM credentials are required to earn 40 hours of CE credits during each two-year cycle.  The two-year cycle is measured on a calendar year basis, and cycles begin in odd years (e.g., 2011, 2013, etc.). Those who hold the FSPA and MSPA credentials satisfy their ASPPA CE requirements by maintaining their Enrolled Actuary status and satisfying the JBEA CE requirements. Those who hold the ERPA credential satisfy their ASPPA CE requirements by maintaining their Enrolled Retirement Plan Agent status and satisfying the ERPA CE requirements.


How do I earn CE credits?

There are a variety of interesting and educational ways to meet your ASPPA CE. See the CE Opportunities page and/or the CE Guidelines for more information.
 

Is pre-approval available for non-ASPPA-sponsored programs, qualified in-house training programs, qualified study group programs?

There is no pre-approval process. Rather, we ask that the ASPPA member and the sponsoring party comply with the guidelines and requirements set forth in the CE Guidelines.


Am I exempt from the ASPPA CE requirement for the CE cycle in which I receive my credential?

No. For the initial CE cycle in which you were awarded a credential (or in which you were reinstated), you must meet the CE requirements on a prorated basis. See www.asppa.org/ce for more information. 


If I earn an additional credential during the current CE cycle, am I subject to 40 CE credits based on my first credential, or am I subject to the prorated amount of CE credits based on when I received my second credential within the current cycle?

You will be subject to the 40 CE credit requirement based on your initial credential.


Are ASPPA CE exemptions available if I become ill or disabled?

Yes, an exemption may be requested in these situations. Requests for exemption for reasons such as hardship or disability may be submitted in writing to the ASPPA Customer Support department. Each case will be reviewed on an individual basis. You may be asked to submit a statement from a licensed physician.


Is a reduction in the ASPPA CE requirement available if I temporarily leave the work force?

Yes, you may request a reduction from your CE requirement for a period of up to two cycles if you temporarily leave the work force. Requests for reductions in CE credits should be made to the ASPPA Customer Support department. Include the length and the reason for your absence in the request.


What if my employer does not reimburse me for participation in CE activities?

Your ASPPA credentials and the CE requirements are your responsibility. There are low-cost options for meeting CE requirements such as free webcasts, in-house training programs, and Plan Consultant  Magazine quizzes.


Do I need to meet ASPPA CE requirements forever?

Once you have reached retirement status from all related employment (age 60 and actively employed fewer than 500 hours per year), you may request to have your ASPPA CE requirements waived for the current cycle. Requests for retired status should be sent in writing to the ASPPA Customer Support department. Please provide your eligibility details (age and employment status). CE filing is optional for retired members.


Can I get all of my ASPPA CE credits through participation in qualified study group programs or qualified in-house training programs?

Yes, all of your ASPPA CE credits can be earned through those types of programs.


How do I report my ASPPA CE credits?

Credentialed ASPPA members may access the online CE module from the My ASPPA page on the ASPPA Website.


Do I submit all my backup material with the CE Program Reporting Form?

No.  However, retention of the attendance records and written outlines is the responsibility of the credentialed member for up to two years following the end of the ASPPA CE cycle and may be requested by ASPPA in the event of an audit.


How are ASPPA CE credits calculated?

Each 50 minutes of instruction is calculated as one ASPPA CE credit.


What happens if I fail to file my ASPPA CE Program Reporting Form in a timely manner?

Your ASPPA credential(s) will be suspended. If, however, you were unable to file in a timely manner due to extenuating circumstances beyond your control, you may contact ASPPA at customersupport@asppa.org.


What happens if I fail to complete some or all of the required number of ASPPA CE credits in a cycle?

Your ASPPA credential(s) will be suspended. The suspension will end upon submission of 40 CE  hours (including 2 in Ethics), payment of a $50 reinstatement processing fee and approval for reinstatement by ASPPA. The 40 CE credits must be earned within the 24-month period preceding your application to reinstate. If you are reinstated in this fashion, the reinstatement CE credits shall not also be counted toward the ASPPA CE requirements for the cycle in which you apply for reinstatement. Subsequent to your reinstatement, you will be responsible for earning a prorated amount of CE credits for the cycle in which you are reinstated.


What if a post-cycle audit results in a determination that my ASPPA CE requirement has not been satisfied?

If some or all of your CE credits are disqualified, you may be reinstated pursuant to the procedures identified previously. It is important to note that fraudulent misrepresentation of entitlement of your CE credits will be referred to the ASPPA Professional Conduct Committee.


Can the ASPPA CE credits that I earned be used to meet other organizations’ CE requirements?

ASPPA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of CE on the National Registry of CE Sponsors for its “grouplive” events (conferences). NASBA has final authority on the acceptance of individual courses for CE credit. ASPPA conferences are designed to offer ERPA CE and Enrolled Actuary core and non-core Joint Board for the Enrollment of Actuaries credit hours. The final decision as to applicable credit rests solely with the JBEA. Attendance verification certificates are provided on-line to session attendees.  For other types of continuing education credit, including CLE, CFP, CE or state insurance credit, please contact the Conferences department at conferences@asppa.org at least 45 days prior to a given conference to submit your request for approval. ASPPA will apply for advance approval of the program if the application process and filing fees are not prohibitive.


Council of Independent 401(k) Recordkeepers (CIKR)

What is CIKR?

CIKR is a national organization whose membership is comprised solely of independent recordkeepers and those companies that provide support to independent recordkeepers. An independent recordkeeper is defined as a company that provides retirement plan administration and recordkeeping services either directly to plan sponsors or through other retirement plan service providers, but which does not primarily maintain their own SEC regulated or State insurance regulated proprietary investments.

What is CIKR’s mission?

CIKR’s mission is to educate governmental entities about the role played by independent recordkeepers in delivering 401(k) plans; advocate legislative and regulatory initiatives that would promote the national retirement plan system and accordingly the interests of independent recordkeepers; defend against legislative and regulatory initiatives that would specifically be to the detriment of independent recordkeepers; and provide an opportunity to network on issues particular to independent recordkeepers.

What is the organizational structure of CIKR?

The Board of CIKR is comprised of a representative from each corporate member, although it is appropriate for a reasonable number of additional individuals from each corporate member to attend meetings. Each year the Board, by majority vote, designates a Member Chair and Vice Chair.

Who are members of CIKR?

CIKR members are unique in that they are primarily in the business of providing retirement plan services as compared to financial services companies that primarily are in the business of selling investments. As a consequence, the independent members of CIKR offer plan sponsors and participants a wide variety of investment options from various financial services companies without an inherent conflict of interest. A list of firms that are members of CIKR can be found at http://asppa.org/Main-Menu/partners/CIKR/CIKR%20Members.aspx.

What is CIKR’s connection with ASPPA?

CIKR is a single member limited liability company owned by ASPPA. A chair of ASPPA’s Government Affairs Committee, or designate, is a voting member of the CIKR Board. The Executive Director/CEO of ASPPA is the CIKR Staff President and an ex-officio non-voting member of the Board. All staff support in furtherance of CIKR’s mission, including lobbying activities, is conducted by ASPPA office staff or ASPPA’s consultants.

How much are the CIKR dues?

Annual membership dues for CIKR members are currently $15,000.conferences

How do I join CIKR?

To join CIKR, fill out the CIKR membership application (www.asppa.org/document-vault/pdfs/CIKR/CIKR-Application.aspx) and e-mail it to asppa@asppa.org. New members require approval of a majority of existing CIKR Board members.

How often does the CIKR Board meet?

The CIKR Board meets in-person twice each year [once in Washington, DC, and once in connection with The ASPPA 401(k) SUMMIT], and otherwise meets monthly by teleconference.

Has CIKR ever been asked to testify before Congress?

Yes, CIKR has been asked to testify before Congress a number of times. To review testimony submitted on behalf of CIKR, visit www.asppa.org/Main-Menu/partners/CIKR/Testimony.aspx.

I have additional questions regarding CIKR. Who can I contact?

Send an e-mail to asppa@asppa.org or call the ASPPA office at 703.516.9300.

Enrolled Retirement Plan Agent (ERPA)

I have questions about the Internal Revenue Service’s Enrolled Retirement Plan Agent designation. Where can I find answers?

Visit the FAQs section of the ERPA exam Web site, or review the information provided above under AIRE, LLC.

Examinations

Do I have to be an ASPPA member to take ASPPA examinations?

No, you do not need to be a member to take ASPPA examinations. However, individuals who would like to take advantage of ASPPA member benefits including examination registration discounts, examination study program discounts, ASPPA conference and educational program discounts and subscriptions to Plan Consultant (formerly The ASPPA Journal) and ASPPA asaps, may apply for affiliate membership. Affiliate membership is designed for individuals with an interest in the retirement plan industry. It does not require the completion of any ASPPA examinations.


How do I register for an ASPPA examination?

There are various certificate and credentialing examinations available for registration. You can register for:

• Certificate Online Examinations (RPF-1, RPF-2, TGPC-1, PFC-1, DB-A, and ESOP-A)

Register online or download a registration form.

• Proctored Examinations (DC-1, DC-2, DC-3, DB, PFC-2, TGPC-2, CPC & A-4)

Register online or download a registration form.

• Topical Consulting Modules 

Register online or download a registration form.


What will I need to make my appointment to take an ASPPA proctored examination at a Prometric testing center?

You will need your eligibility confirmation email from ASPPA before you will be able to schedule an appointment to sit for your proctored examination. This email is notification that Prometric has received your information and you will be able to make arrangements to sit for your examination. Candidates will start receiving emails approximately one to two weeks after your registration is received.

How can I order study materials for ASPPA examinations?

You can order materials from the ASPPA bookstore here.  Information for ordering by mail and fax is included on the publications order form, which you can find here.


Can I use older edition study materials to prepare for an ASPPA examination?

ASPPA strongly encourages examination candidates to use the most current study materials in preparation for an examination. Consult the examination syllabus for a list of current required reading for an examination.

Where would I find any corrections to the publications that I am using to prepare for an ASPPA examination?

Any changes or corrections to the current year's study materials (including examination questions) will be posted to the Exam and Publication Errata & References page.


If I have a question about an examination that I completed or a publication that I have reviewed, where do I send my question?

ASPPA's Education & Examination (E&E) Committee appreciates and welcomes candidate comments to continually improve our educational offerings. If a candidate wishes to have a submitted examination/module question, webcourse assessment, practice examination question or specific content within an ASPPA examination related publication reviewed, the candidate should review and complete the ASPPA Examination & Publication Candidate Inquiry Review Policy and form at www.asppa.org/candidateinquiry.


Where can I find practice examinations?

For a complete list of practice examinations available please visit this link. Practice examinations for proctored examinations can be purchased though the ASPPA bookstore. Practice examinations for online certificate program examinations can be purchased online at www.asppa.org/exams, or by using the certificate exam registration form found here.


My company will reimburse me for ASPPA examination registration and publication charges. How can I get a receipt?

If you register and take an ASPPA examination online or order a publication, you will be prompted to print your receipt once payment is confirmed. If you did not receive or print an invoice, you can download via your MyASPPA page.


Can I use a calculator during a proctored ASPPA examination?

Candidates will NOT be allowed to bring in calculators to the Prometric testing centers. Candidates will be provided an onscreen calculator during the examination. If requested and available, Prometric will furnish a handheld calculator that is silent, solar or battery-operated and nonprogrammable (without paper tape-printing capabilities or alphabetic keypads).


Do my ASPPA examinations ever expire?

Yes. According to ASPPA's sunset provision, examinations expire eight and one half years from the examination grade date, unless you already have an ASPPA credential. As long as candidates maintain credentialed membership status, their examinations do not expire. However, if candidates do not have a credential and an examination has expired, applicants do not necessarily need to retake the examinations. Candidates can receive credit for expired examinations by submitting a Continuing Education Reporting Form, along with an application for credentialed membership (found here). The reporting form must show that applicants have acquired 40 Continuing Education credits (2 of which must be on ethics) within the 24 months prior to submitting the application form.


Government Affairs

What is ASPPA GAC?

ASPPA GAC is the ASPPA Government Affairs Committee. ASPPA GAC represents ASPPA in communicating with the President, Congress and numerous government agencies concerning ASPPA’s views and policies as established by the Board of Directors regarding legislation, regulatory affairs and other matters of concern to the membership. Committee members research issues and develop position papers and testimony for submission to these groups. ASPPA members are encouraged to communicate with ASPPA GAC regarding any legislation or regulatory issue of concern to them.

Where can I view the most recent comments and testimony from ASPPA?

Visit www.asppa.org/comments and www.asppa.org/testimony.

What is an ASPPA asap?

The ASPPA asap is an e-mail or fax news service that provides vital and timely updates on breaking legislative and regulatory developments critical to those in the retirement plan field. Specifically, the updates include information about ASPPA’s responses to government activities, regulatory developments and proposed pension legislation. The ASPPA asap is available free to ASPPA members via e-mail.

Where do I send questions that I would like the ASPPA Q&A Subcommittee to consider?

Click here and complete and submit your questions via the Web form.  Questions receive may be presented to government representatives during Q&A sessions at various ASPPA conferences throughout the year.

How can I go about contacting Congress?

Please visit this link for more information.

Membership

Who are ASPPA’s members?

ASPPA members are retirement plan professionals who view retirement plan work as a career. Members include plan consultants, third party administrators, accountants, attorneys, insurance agents, recordkeepers, human resource professionals, trustees, brokers, investment managers, sales and marketing professionals, actuaries and benefits professionals also employed in banks, insurance companies, retirement planning software firms and educational institutions.

What are the benefits of ASPPA membership?

In addition to the professional recognition that ASPPA’s credentialed members receive, ASPPA membership provides the following benefits: advocacy, education, information, networking and discounts.

How do I become a member of ASPPA?

ASPPA has two types of membership: affiliate and credentialed. Those interested in affiliate membership must complete a membership application and submit membership dues. To become a credentialed ASPPA member, applicants must successfully complete a series of examinations. Credentialed membership also requires two professional recommendations and two or three years of appropriate experience in the retirement field. APMs (Associated Professional Members) are also considered credentialed members, but are not required to take any ASPPA examinations. They are required to provide two letters of recommendation and have three years of pension related experience. The following professionals are eligible for ASPPA’s APM credential: Attorneys and CPAs. All ASPPA members are subject to the ASPPA Code of Professional Conduct and are required to acknowledge that they have read the code at the time of application.

Does ASPPA have corporate membership?

No. Only individuals can be members of ASPPA.

Does ASPPA offer a corporate dues discount?

Yes. If a company has more than one employee who is a credentialed member of ASPPA, a corporate dues discount may be applied. The corporate dues discount only applies to those paying for a full year of dues. Affiliate members are not eligible for the corporate discount.

Does ASPPA offer any special membership dues rates?

ASPPA offers a discounted membership dues rate to those who qualify for government and/or retired status. Those who are employed by the government are eligible for the government employee status. Those who are actively employed less than 500 hours per year and are at least 60 years of age are eligible for retired status. ASPPA also offers special discounted membership dues to full-time students. Proof of school registration and paid tuition bill must be submitted with the application.

National Association of Independent Retirement Plan Advisors (NAIRPA)

When was NAIRPA formed?

NAIRPA was formed in Spring 2009.


What are NAIRPA’s Core Principles?

NAIRPA is a leader in the transformation of the national retirement system to improve transparency, effectiveness and governance. NAIRPA embraces new members who adhere to NAIRPA’s Core Principles, which include:

1. The retirement industry is in transition and NAIRPA is a leader for positive change.
2. Our core purpose is to enhance retirement security in America.
3. Our members provide independent, unbiased advice to retirement plans and their participants.
4. Our members embrace a fiduciary ethic for serving our clients.
5. Our members are committed to leading the transition to a more transparent, effective, professionally governed retirement system.
6. Independence requires elimination of conflicts of interest in the spirit of ERISA, and our members seek to eliminate conflicts wherever appropriate.

Why was NAIRPA formed?

The image of 401(k) plans, whether fairly or not, was tarnished by the recent economic crisis. In order to weather the storm, frustrated plan sponsors and participants are increasingly seeking investment advice. However, there is surprisingly little understanding in the marketplace and among policymakers in Washington, D.C. regarding the role of an investment advisor and what it really means to be “independent.”

The financial services industry (i.e., investment manufacturers) are heavily represented in Washington, D.C. by a number of trade associations, including the Investment Company Institute (mutual funds complexes) and the American Council of Life Insurance (insurers), and they have been aggressively weighing in on these issues. Independent retirement plan advisors do participate in other organizations (e.g., the Financial Planning Association), but none of them are exclusively focused on the issues that matter to retirement plan advisors. Given these uncertain economic times and the debate about the future of 401(k) plans, it is critical that independent retirement plan advisors have a strong “independent” voice in Washington, D.C. to ensure their views are clearly heard by policymakers.

Who are members of NAIRPA?

In addition to supporting the core principles listed above, membership in NAIRPA is open to any retirement plan advisory firm (Advisor) that supports the following standards of practice:

• Transparency. The Advisor should abide by the following transparency rules with respect to all client engagements for retirement plan services. The Advisor should clearly disclose:
  • All compensation, monetary or non-monetary and direct or indirect (includes affiliates), expected to be received in connection with such services in advance of any engagement and all such compensation actually received at least annually thereafter.
  • All conflicts of interest.
  • Its fiduciary status and the extent and limitations of its fiduciary responsibility.
• Independence. Compensation received by the Advisor should be on a fee basis and should not be impacted by investments or vendors ultimately selected by the plan sponsor or participants. This is consistent with recent Department of Labor regulations addressing the provision of investment advice.

Click here for a list of firms that are members of NAIRPA.


What is the organizational structure of NAIRPA?

Each NAIRPA member appoints an individual to serve on the NAIRPA Board, which is responsible, by majority vote, for setting the strategic direction and making policy decisions for the organization. Each year the NAIRPA Board elects a Chair and Vice Chair from among its members. The Chair and Vice Chair, in consultation with the NAIRPA Staff President, sets the agenda for the NAIRPA Board meetings.

What is NAIRPA’s connection with ASPPA?

NAIRPA is a limited liability company subsidiary of ASPPA. An individual appointed by ASPPA serves as an ex-officio liaison member of the NAIRPA Board. The NAIRPA Staff President is the ASPPA Executive Director/CEO, and all logistical and lobbying support is provided by the ASPPA office. NAIRPA’s mission, strategic plan and vision is consistent with that of ASPPA.

How do I join NAIRPA?

Click here, complete the application for NAIRPA membership and e-mail it to asppa@asppa.org.

How much are the NAIRPA dues?

To provide effective representation in Washington, D.C., NAIRPA is expected to require annual resources of $250,000. Annual dues will be set at a minimum of $3,000, although to help meet the budgetary goal, voluntary dues at a level of $5,000 would be appreciated. Future dues increases will only be instituted after consultation with the NAIRPA Board.

How often does the NAIRPA Board meet?

The NAIRPA Board meets in-person at least once a year in Washington, D.C., and by conference call at least once a month.

I have additional questions regarding NAIRPA. Who can I contact?

Send an e-mail to asppa@asppa.org or call the ASPPA office at 703.516.9300.

National Tax Sheltered Accounts Association (NTSAA)

What is the NTSAA?

The NTSAA is a semi-autonomous division under ASPPA dedicated to the 403(b) and 457 marketplace.

What is the NTSAA’s mission?

The NTSAA’s mission is to provide high-quality education, technical support, information resources and networking forums for all professionals involved in the 403(b) and 457 marketplace.

Is there a credential or certificate program for those in the 403(b) and 457 marketplace?

Yes, ASPPA’s Tax-Exempt and Governmental Plan Consultant (TGPC) credential and certificate program are designed for professionals who specialize in the tax-exempt and governmental retirement plan markets. The TGPC credential can be attained by passing a series of four examinations. For more information on the TGPC credential and certificate program, please visit www.asppa.org/tgpc.

How can I volunteer for the NTSAA?

If you are interested in serving as a volunteer for the NTSAA, please send an e-mail to info@ntsaa.org and indicate your committee of interest. NTSAA committees include: Conference Committee, Education Committee, Government Affairs Committee and Strategic Planning Committee.

Does the NTSAA hold conferences?

Yes, the NTSAA holds the NTSAA Annual Conference in June. More information can be found at www.asppa.org/conferences.

I have additional questions regarding the NTSAA. Who can I contact?

Send an e-mail to Jaime Werner, NTSAA Manager, at jwerner@asppa.org


Political Action Committee

What is ASPPA PAC?

Political Action Committees are a means to recognize that America is a nation of interests where groups of citizens have a desire and constitutional right to participate in the election/campaign process. PACs channel this involvement in a fully disclosed and financially limited manner. PACs are “hard” money operations, highly regulated and engaged in a very public process. ASPPA members contribute to the PAC; the PAC in turn makes campaign contributions to candidates for federal office who demonstrate interest in and support for the employer-sponsored retirement system. ASPPA PAC is the way ASPPA pools its members’ financial resources to collectively participate as ASPPA’s voice in the election/campaign process.

Why does ASPPA need a PAC?

ASPPA PAC strengthens ASPPA’s voice. By law, only ASPPA PAC, and not ASPPA, can make political contributions to candidates. Political contributions merely open the door so ASPPA can be heard. ASPPA’s ideas and philosophies are good. Making sure these ideas and philosophies get a fair and adequate hearing is why ASPPA PAC is here. ASPPA members who choose to become members of ASPPA PAC through contributing to the PAC help ASPPA make sure that Congress understands what is needed to protect Americans’ retirement security.

Who can join ASPPA PAC?

Only ASPPA members (credentialed and non-credentialed), their spouses and ASPPA employees may join and contribute to ASPPA PAC.

Why should I join ASPPA PAC?

In its short history, ASPPA PAC has strengthened the ASPPA GAC program, which has had a substantial impact on ASPPA members’ clients and practices. For example, ASPPA, supported by ASPPA PAC, played a significant role in the successful effort to enact the Pension Protection Act in 2006 and the Worker, Retiree and Employer Recovery Act in 2008. And today, ASPPA PAC helps ASPPA in our current efforts in the debate over 401(k) plan fee disclosure, independent investment advice, pension funding relief and automatic IRA legislation. With your support, ASPPA PAC can continue to support ASPPA in these critical efforts.

Who gets ASPPA PAC money?

ASPPA PAC contributes to the campaigns of both Democratic and Republican candidates for federal elective office who demonstrate interest in and support for the employer-sponsored retirement system.

How much should I give?

ASPPA PAC needs you to contribute at the level that feels best to you. Please consider qualifying for one of the following contributor levels with your contribution or pledge to contribute in 2010.

• Presidents Club $5,000
• Executives Club $2,500
• Founder Club $1,000
• Leaders Circle $ 500

Not every member can make this commitment, but any and all contributions are enormously appreciated and do make a difference. Numbers of contributors are just as important as dollars of contributions. If you can give just $50, or even as little as $10 every year, that would be an enormous help to ASPPA PAC’s efforts to help ASPPA protect the private pension system.

How do I contribute to ASPPA PAC?

Visit www.asppa.org/pac to contribute online or to download a contribution form.

I have additional questions regarding ASPPA PAC. Who can I contact?

Send an e-mail to asppa@asppa.org or call the ASPPA office at 703.516.9300.

Professional Services Directory

What is the Professional Services Directory?

The Professional Services Directors is an online tool that helps ASPPA members market their credentials and their firms’ capabilities through a variety of options. Search capabilities range from state, regional and national listings that include credentialed professionals and detailed descriptions of services offered.

Is the Professional Services Directory available to all ASPPA members?

The Professional Services Directory is available to credentialed ASPPA members only.

How do I benefit from the Professional Services Directory as a credentialed ASPPA member?

The Professional Services Directory helps promote your credentials and provides your clients with valuable information about you, your firm and your services.

Is there a fee involved to sign up to the Professional Services Directory?

The basic listing is free of charge.  State, state-enhanced, enhanced-national, enhanced-regional and a combination of enhanced-regional and state listings are available for purchase. Please visit the Professional Services Directors online or e-mail customersupport@asppa.org for more information regarding the fees associated with the various listings.

Will my subscription to the Professional Services Directory ever expire?

Yes, a purchased listing expires on the subscription anniversary date. Renewal notifications will be e-mailed to purchasers 60 days prior to the expiration of a paid subscription.

Publications

What is the ASPPA asap?

The ASPPA asap is an e-mail or fax news service that provides vital and timely updates on breaking legislative and regulatory developments critical to those in the retirement plan field. Specifically, the updates include information about ASPPA’s responses to government activities, regulatory developments and proposed pension legislation. The ASPPA asap is available to ASPPA members free of charge via e-mail and is available via facsimile at a 75% discount off the non-member rate. For more information regarding the ASPPA asap, please visit here.

What is Plan Consultant?

Plan Consultant is a quarterly magazine designed to help retirement plan professionals improve their skills, enhance their knowledge, and conduct their business in a way that is professional, ethical, efficient and creative. Written by industry leaders and experienced retirement planning professionals, Plan Consultant provides timeless and practical, how-to processes and case studies that retirement professionals can use in their own practices. For more information regarding Plan Consultant, please visit www.asppa.org/pc.

What is The ERISA Outline Book?

The ERISA Outline Book, authored by Sal L. Tripodi, APM, J.D., LL.M., is both a reference book and a study guide on qualified plans, presented in outline format and fully indexed. The ERISA Outline Book is the recommended study resource for the IRS Enrolled Retirement Plan Agent (ERPA) program. The ERISA Outline Book is available in print and online formats. For more information regarding The ERISA Outline Book, please visit www.asppa.org/eob.

What is ASPPA eNEWS?

ASPPA eNEWS is a monthly electronic newsletter for ASPPA members that highlights the most recent and upcoming activities of ASPPA and its affiliate organizations. For more information regarding ASPPA eNEWS, please visit www.asppa.org/Main-Menu/edpubs/Publications/eNews.aspx.

What is the ASPPA Bookstore?

The ASPPA Bookstore, located at www.asppa.org/bookstore, is your one-stop destination to order ASPPA publications.

Volunteering

Does ASPPA have a volunteer program?

Yes, ASPPA offers volunteer opportunities to members interested in serving on various ASPPA committees, subcommittees, etc.

Do I have to be an ASPPA member to volunteer?

Yes, ASPPA membership is required of all volunteers.

How do I volunteer for ASPPA?

You may log into the ASPPA Web site at http://www.asppa.org/ and download the volunteer application form. The form can be submitted via fax (703.516.9308) or mail (ASPPA, 4245 Fairfax Dr Ste 750, Arlington, VA 22203).

How will I know that I have been selected to serve on a committee, subcommittee, etc.?

Once a volunteer application is received, you will receive an e-mail confirmation from ASPPA acknowledging receipt. Your application will then be forwarded to the appropriate committee/subcommittee chair. You should expect to receive a telephone call or an e-mail from the chair as soon as a volunteer opportunity arises and you are selected.

How long is each term for each volunteer commitment?

Each volunteer term runs for a full year, but could run longer or shorter depending on the committee/subcommittee and the month of the year that you accepted the position.

Is there a limit to the number of committees on which I can serve?

Yes, ASPPA members are currently limited to serving on three committees at a time.

Are there travel opportunities involved in the ASPPA volunteer program?

Not all committee work involves travel. However, there are some committees that do require travel.

Webcasts

How do I register for an ASPPA webcast?

Visit www.asppa.org/webcast to see a listing of all available ASPPA webcasts.  From the Web site, you can register for webcasts using a credit card for payment.

Can I earn ASPPA CPE credits for attending an ASPPA webcast?

Viewing an ASPPA webcast may provide ASPPA CPE credits.  Please visit www.asppa.org/webcast and select an individual webcast for more details on available CPE credits.

How do I obtain materials for an ASPPA webcast?

Materials for each live ASPPA webcast are e-mailed to registered individuals prior to the webcast presentation. If you’ve registered for a live webcast but did not receive the materials, please contact ASPPA at webcast@asppa.org.

What is the refund policy for ASPPA webcasts?

If extenuating circumstances beyond your control make it so that you cannot attend a future live ASPPA webcast for which you registered, you may contact ASPPA at webcast@asppa.org for more information on your available options.

Can an ASPPA webcast registration be transferred to another individual?

A registration for a future live ASPPA webcast may be transferred to another individual or to a future webcast.

How do I access ASPPA webcast recordings?

ASPPA will send an e-mail to each registrant with a link that will provide access to the ASPPA webcast recording.  If you have registered for an ASPPA webcast recording but did not receive an access e-mail, please contact ASPPA at webcast@asppa.org.

How long do I have to access the ASPPA webcast recording that I purchased?

Generally, ASPPA webcast recordings are available until approximately one year after the date of the live webcast presentation.

How do I submit questions to an ASPPA webcast speaker?

You may submit speaker questions to webcast@asppa.org.

Are Q&As provided to participants after ASPPA webcasts?

When made available by the ASPPA webcast speakers, Q&As are provided to registered participants via e-mail.