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TPAs: Resources to help you file Form 5500
April 10, 2018
Form 5500 is the annual return used to report information concerning retirement plans that are subject to ERISA. The following provides information on Form 5500 schedules, which generally apply to plans with 100 or more participants.
Schedule C (Service provider information, for all RecordkeeperDirect® plans)
Schedule C is required if any service provider who rendered services during the plan year received $5,000 or more in direct or indirect compensation. We have created materials to help with year-end filing of Form 5500 Schedule C:
- An approach to Schedule C Form 5500 reporting (PDF) (American Fund Only) — TPAs may find this guide useful when filing Form 5500 Schedule C.
- An approach to Schedule C Form 5500 reporting (PDF) (MultiFund) — TPAs may find this guide useful when filing Form 5500 Schedule C.
- TPA Form 5500 Schedule C Email Template (MS Word) — This email template can be used by TPAs to contact plan sponsors regarding Form 5500 Schedule C.
- EIC Disclosure (PDF) — This document explains Eligible Indirect Compensation, as well as soft dollar disclosure, execution of portfolio transactions and Form 5500 Schedule C FAQ’s.
Schedule A (Insurance information, for RecordkeeperDirect-Multifund plans only):
- Schedule A is required if any plan services are provided by an insurance company. To complete this form, see "Form 5500 Annual Return Report — Schedule A" and "Form 5500 Annual Return Report — Schedule A Supplement" in the Reports & Analysis section of our website. This year-end report is available for 90 days or can be requested on demand.
- Assets reflected on the Schedule A are indicative of plan year data over the period that the plan has been on this recordkeeping system only. Additional Schedule A data may be required from a previous recordkeeper if the plan has not been on this recordkeeping system for the entire plan year.
Schedule D (Participating plan information, for RecordkeeperDirect-Multifund plans only)
Schedule D is required if a plan has assets in a pooled separate account. To complete this form, see "Form 5500 Annual Return Report — Schedule A" and "Form 5500 Annual Return Report — Schedule D Supplement" in the Reports & Analysis section of our website.
To access the reports to help you complete Schedule A and Schedule D:
- Click the Reports & Analysis tab.
- Click the Show Filter link on the right side of the screen.
- Select Last 90 Days from the Select a Time Period drop-down menu and click Submit.
For more information, please contact us at (800) 421-6019.