SATURDAY, OCTOBER 31
SUNDAY, NOVEMBER 1
MONDAY, NOVEMBER 2
TUESDAY, NOVEMBER 3
WEDNESDAY, NOVEMBER 4
REVIEW SESSIONS
VISITS TO THE HILL
IRS Q&A STREAMING VIDEO
CONTINUING EDUCATION INFORMATION


There are six customized learning tracks to fit your learning objectives with Beginner, Intermediate and Advanced topics offered. Learning tracks focused for Actuaries, Administrators, Attorneys, Business Owners, Consultants and Investment Professionals. Once available, the complete conference brochure will have more information on these specialized tracks, levels and continuing education credits.

Featured Sessions
• Washington Update – Brian Graff and Judy Miller will address how will developments in the Nation’s Capitol influence the design and administration of retirement and other benefit plans? What do the new rules mean and what additional developments should we expect? Come hear what’s in store for the retirement industry with the new administration now in office.

• Keeping Current – Ilene Ferenczy and S. Derrin Watson will provide you with a general update on legislation, regulations and other guidance from Treasury, IRS, DOL and PBGC, as well as court cases related to pension and ERISA issues.

• Behavioral Economics – Lawrence Starr will review the strange and misguided economic beliefs held by industry players that are the equivalent of believing that pigs can fly or Bernie Madoff can get a consistent 10% return regardless of the direction of the markets. The discussions will bring into question some of the “Sacred Cows” of the industry when it comes to plan operation.

• DB(k) Begins in 2010 – With just months away from the combined DB/401(k) reality in the 2010 plan year, come hear a discussion of what might be the likely design features of such an arrangement and how such plans may operate.

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Be sure to download the complete conference brochure for more information on session descriptions and continuing education credit.

SATURDAY, OCTOBER 31, 2009   [back to top]

8:30 a.m. – 12:00 p.m.
ERPA-SEE Part I Review Course: Compliance and Operational Issues
*Additional Registration Fees Apply

1:00 p.m. – 5:00 p.m.
ERPA-SEE Part II Review Course: Plan Documents, Reporting & Distribution Issues
*Additional Registration Fees Apply
[Read More]

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SUNDAY, NOVEMBER 1, 2009   [back to top]

8:15 a.m. 1:15 p.m.
Intensive Review Sessions (DC-1, DC-2, DC-3, DB)
*Additional Registration Fees Apply
[Read More]

12:00 p.m. – 1:15 p.m. Concurrent Workshops
Should a Plan Optimize Return vs. Minimizing Risk
Participant Communications & Notices
401(k) Testing Failures and Correction Techniques
ASPPA Record Keeping Certification
The Mechanics of Roth and the Changes in 2010
Section 430, Investment Losses and Contribution Consulting
The Double-Edged Sword of Plan Design: Cash Balance Plans

1:30 p.m. – 2:45 p.m. Concurrent Workshops
Informal Defined Contribution Session
DB(k) Begins in 2010
The End in Mind
The Jetsons File Form 5500
Defensive Defined Contribution Plan Design
FASB – Pension Accounting and the 2008 Financial Markets
Coming Out of a Fully-Insured Plan

2:45 p.m. – 4:00 p.m.
General Session 1: President’s State of the Industry Address and Business Meeting

4:00 p.m. – 5:40 p.m.
General Session 2: Washington Update

5:45 p.m. – 7:00 p.m.
President’s Welcome Reception in the Exhibit Hall

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MONDAY, NOVEMBER 2, 2009   [back to top]

7:00 a.m. – 7:45 a.m.
Continental Breakfast in the Exhibit Hall

7:45 a.m. – 9:00 a.m.
General Session 3: Keynote Speaker Stephen M. R. Covey, Author of The SPEED of Trust

9:30 a.m. – 11:15 a.m.
General Session 4: Governmental Update

11:45 a.m. – 1:00 p.m. Concurrent Workshops
PPA Funding for Non-Actuaries (Communications and Operations)
Managing Your Liability Exposures as a TPA
Circular 230 for Enrolled Agents, Enrolled Actuaries, CPAs, ERPAs and Attorneys
401(k) Testing and Failures and Correction Techniques
403(b) Plans – Making the Extreme Makeover Work
Minimum Required Contribution under the Pension Protection Act 
Informal Defined Benefit Session

1:00 p.m. – 2:15 p.m.
Luncheon Awards Ceremony

2:30 p.m. – 4:10 p.m.
General Session 5: Keeping Current

4:40 p.m. – 5:55 p.m. Concurrent Workshops
Automatic Enrollments and QDIAs
The Defense Attorney Defends a TPA
Behavioral Economics – Basic Theory for Plan Administrators
In-depth Discussion of a Hot Topic
Decumulation and Defined Contribution Plans
Maintaining and Utilizing Credit Balances Including Deemed Reductions
Cash Balance Plan Design and DB/DC Combinations

6:00 p.m. – 6:30 p.m.
Informational Rally for Visits to the Hill

7:15 p.m. – 11:00 p.m.
Monuments at Night Tour

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TUESDAY, NOVEMBER 3, 2009   [back to top]

7:15 a.m. – 8:15 a.m.
Continental Breakfast in the Exhibit Hall

8:15 a.m. – 9:30 a.m. Concurrent Workshops
EPCRS Case Studies
403(b) Plans – Making the Extreme Makeover Work
PPA and Plan Amendments, EGTRRA Restatements and Document Submissions
Form 5500 Schedule C: What You Need to Know
Cash Balance Plan Administration for DC Administrators
Section 436 Restrictions and Notice Requirements
Plan Termination Issues – ERISA and Non-ERISA Plans

10:00 a.m. – 11:15 a.m. Concurrent Workshops
Fiduciary Best Practices for Gray Areas
The Latest on QDIAs and Automatic Rollovers
Ethics in Representing Employee Benefit Plans
403(b) Document Issues and Pre-Approved Plan Program
Non-Traditional Plan Investments
Section 404 and 404(a)(7) Deduction Issues
Maintaining and Utilizing Credit Balances Including Deemed Reductions

11:15 a.m. – 2:00 p.m.
Box Lunches in the Exhibit Hall
Day on the Hill – Visit your representatives on Capitol Hill
[Read More]

2:15 p.m. – 3:30 p.m. Concurrent Workshops
Outsourcing and Telecommuting – How to Deal with it in Your TPA Firm
We are Paid Tax Preparers – Heightened Tax Preparer Liability
Single Employer Plan Terminations
Looking at M&A a Whole New Way
Getting Cash While Keeping Your Job
Schedule SB and PBGC Premium Filing
Chaos Theory and Section 401(a)(4) Non-discrimination Testing

4:00 p.m. – 5:15 p.m. Concurrent Workshops
Succession Planning for Business Owners
Staying Out of Trouble: Prohibited Transactions Case Studies
In-Depth Discussion of a Hot Topic
What Happens to Plan and/or to Participants when Creditors and the Bankruptcy Courts Come Knocking
457 Plans – Those Other Deferral Plans
Participant Disclosure and Notice Requirements – DB
Minimum Required Contribution Under the Pension Protection Act

5:30 p.m. – 6:30 p.m.
Generation XY Reception

6:30 p.m. – 9:30 p.m.
Clambake on the Potomac

9:30 p.m.
PAC Party

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WEDNESDAY, NOVEMBER 4, 2009   [back to top]

6:45 a.m. – 8:00 a.m.
Continental Breakfast for Actuaries

7:00 a.m. – 8:00 a.m.
Continental Breakfast

8:00 a.m. – 9:15 a.m. Concurrent Workshops
403(b) 5500 Data and Audit Issues
How to Prepare for IRS and DOL Audit Initiatives
Plan Design for DC—Advanced
It’s “Not That 70’s Show” – Affiliated Service Groups
TPA Firm Best Practices: Firms Focused on the Future
Distributions from DB Plans, Including 415 and 417 Issues
Model Actuarial Report for 2009

9:30 a.m. – 10:45 a.m. Concurrent Workshops
Co-Fiduciary Responsibility and Ethics
Plan Audits – Working with the CPA
Sweeping Changes in the Fiduciary World – Transparency and Transformation
Investments: How is a Participant Supposed to Choose?
Non-Qualified Plan Designs – Applicability and Circumstances
Partial Terminations: Work Force Reductions and Freezing Accruals
IRS Questions & Answers – Defined Benefits

11:00 a.m. – 12:40 p.m.
General Session 6: IRS Questions & Answers – Defined Contributions

12:40 p.m.
Conference Adjourns

Keynote Speaker
Stephen M. R. Covey, Author of The SPEED of Trust
Stephen M. R. Covey is co-founder and CEO of CoveyLink Worldwide. A sought-after and compelling keynote speaker and advisor on trust, leadership, ethics and high performance, he speaks to audiences around the world. He is the author of The SPEED of Trust, a groundbreaking and paradigm-shifting book that challenges our age-old assumption that trust is merely a soft, social virtue and instead demonstrates that trust is a hard-edged, economic driver—a learnable and measurable skill that makes organizations more profitable, people more promotable, and relationships more energizing. He advocates that nothing is as fast as the speed of trust and that the ability to establish, grow, extend, and restore trust with all stakeholders is the critical leadership competency of the new global economy.

Disclaimer
The statements and materials presented at the ASPPA Annual Conference are solely the opinions of the speakers and do not represent the opinion or the position of ASPPA. ASPPA does not assume any responsibility for the contents of the statements and materials presented.

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DC-1, DC-2, DC-3 AND DB INTENSIVE REVIEW SESSIONS (Additional registration fees apply)   [back to top]
Do you need a little extra help preparing for an upcoming examination? During the Annual Conference, ASPPA will be offering DC-1, DC-2, DC-3 and DB Intensive Review Sessions. Attendees are welcome to attend as many sessions as they wish and there is no requirement that you be enrolled in any course program or that you ultimately take an exam. If you are considering obtaining or upgrading your professional credential, or desire continuing education credit, then this program is for you!

DC-1: Defined Contribution Administrative Issues - Basic Concepts
Subject Matter: The law and regulations that govern the operation and qualification of retirement plans in general, including: qualification requirements; eligibility, participation, coverage and vesting; top heavy plans and annual reporting requirements.

DC-2: Defined Contribution Administrative Issues – Compliance Issues
Subject Matter: 401(k) basics/coverage/nondiscrimination; corrections of failed ADP/ACP tests; special ADP/ACP testing rules; safe harbor 401(k) and SIMPLE 401(k) plans; ERISA §404(c); defined contribution allocation methods; distributions; taxation and participant loans.

DC-3: Defined Contribution Administrative Issues – Advanced Topics
Subject Matter: Controlled groups; affiliated service groups; compensation; average benefits test and other special rules; nondiscrimination; ESOPs; fiduciary standards; prohibited transactions; life insurance and distributions.

DB: Administrative Issues of Defined Benefit Plans
Subject Matter: Administration and consulting for defined benefit plans, including: benefit calculations and limitations; nondiscrimination and permitted disparity rules; plan terminations and PBGC coverage; 412(i) plans, cash balance plans and floor offset plans.

DC-1, DC-2, DC-3, DB Review Sessions (in addition to full conference registration)  DC-1, DC-2, DC-3, DB Sessions ONLY – Member DC-1, DC-2, DC-3, DB Sessions ONLY – Non-member

$50   $200 $255

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ERPA REVIEW COURSES-SATURDAY, OCTOBER 31, 2009   [back to top]
(Additional registration fees apply)  

ERPA-SEE Part I Review Course: Compliance and Operational Issues
• Introduction to qualified plans; participation; coverage and vesting; controlled and affiliated service groups and leased employees;
• Contributions, allocations and benefit formulas, accrual rules;
• Limitations on benefits, contributions and compensation; deduction and funding rules;
• General non-discrimination testing; top-heavy testing;
• ADP/ACP testing; safe harbor plans and automatic enrollment; annuity plans.

ERPA-SEE Part II Review Course: Plan Documents, Reporting and Distribution Issues
• Plan documents and amendments; participant communications;
• Distributions; annuity requirements and spousal consent;
• Rollovers; death benefits and beneficiaries; participant loans; QDROs;
• Plan audits and corrections programs; PBGC issues; prohibited transactions; plan terminations;
• Government filings, submissions and guidance; ethics and professional responsibility.

ERPA Review Course Part I ERPA Review Course Part II ERPA Review Course Part I and Part II (in addition to full conference registration)

$250 $250 $450

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VISITS TO THE HILL   [back to top]

Join hundreds of your fellow ASPPA Members as they visit Capitol Hill to speak to their congressional representatives. ASPPA will make many of the arrangements for you, including transportation and lunch and provide information to discuss with your representatives.


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IRS Q&A STREAMING VIDEO   [back to top]

Year after year, the IRS Q&A Sessions offer some of the best takeaway information from the ASPPA Annual Conference. But what if you can’t attend this year? Problem solved. For the first time ever, the IRS Q&A Sessions will be streamed LIVE over the Internet. Watch from the convenience of your office, OR, call-in and listen on your cell phone! You pick the way you want to participate. Click Here for more information.

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CONTINUING EDUCATION INFORMATION   [back to top]

ASPPA Members
The ASPPA Annual Conference offers up to 24 hours of ASPPA CPE credits. Beginning with the 2010 CE cycle, credentialed ASPPA Members are required to earn at least 1 CPE of Ethics/Professionalism.

Continuing Education Credits for the review sessions are as follows:

ERPA-SEE Review Part I ERPA-SEE Review Part II    Intensive Reviews Part I  Intensive Reviews Part II Intensive Reviews Part III

4.8 credits 4.8 credits 1.5 credits 1.5 credits 1.5 credits

Attorneys
*Pending Approval: Colorado, Georgia, Illinois, Indiana, Kansas, Maryland, Minnesota, North Carolina, Ohio, Pennsylvania, Tennessee, Texas, Wisconsin
To receive a CLE credit certificate (or for credit to be submitted directly to the state for any of the states above), you must sign a roster for that particular state at the Conference Registration Desk. CLE certificates are not automatically sent to all attendees if you have not signed the roster.

Accountants
This conference is a "group-live" event and will grant 24 CPE credits (12 – Taxes, 12 – Administrative Practice).
To receive a CPE certificate, you must sign the NASBA roster at the Conference Registration Desk. CPE certificates are not automatically sent to all attendees if you have not signed the roster.  

ASPPA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. For more information regarding administrative policies such as complaint and refund, please contact ASPPA 703.516.9300. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Web site: www.nasba.org.

Certified Financial Planners
CFP credit is pending approval.
For your attendance and credit to be submitted to the CFP Board, you must complete a CFP attendance sheet at the Conference Registration Desk. To submit your credit to the CFP Board, ASPPA must have your CFP Registrant ID# and the last 4 digits of your SSN.

Enrolled Actuaries
The conference is designed to provide up to 24.5 JBEA credits for enrolled actuaries with Core/Non-core workshops offered. The final decision as to the number of JBEA credits rests solely with the Joint Board for the Enrollment of Actuaries (JBEA). To receive a JBEA credit certificate, attendees must fill out the small Continuing Education Forms found in the attendee booklet. CE forms for JBEA credit must be turned in at the end of each session to track attendance and a letter will be sent after the conference listing your attendance.

Enrolled Retirement Plan Agent (ERPA)
This conference is designed to offer up to 24.5 CPE credits for ERPAs. 
ERPAs are required to earn at least 2 CE of Ethics/Professionalism. To insure accurate reporting of these and all sessions, please complete the small Continuing Education forms found in your conference folder before leaving all sessions to insure credit.

Insurance
*Pending Approval: California, Illinois, Maryland, Missouri, Ohio, Oregon, Pennsylvania
To receive a CE credit certificate (or for credit to be submitted directly to the state for any of the states above), you must sign a roster at the Conference Registration Desk. CE certificates are not automatically sent to all attendees.

For other types of continuing education credit, including CLE, CFP, CPE or state insurance credit, please contact the conferences staff at conferences@asppa.org at least 45 days prior to the conference to submit your request for approval. We will apply for advance approval of the program if the application process and filing fees are not prohibitive.

Please check back periodically for updates. We will post approved credit and credit applied for as it is available.