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401(k) Testing Techniques: before, during and after

  • 17 Feb 2021
  • (PST)


  • A member of any chapter of the WP&BC in good standing.

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401(k) Testing Techniques:

before, during and after


Wednesday, February 17, 2021


  Our Presentation:

One of the more challenging aspects of 401(k) plan administration is the annual testing. Understanding the testing rules and options is a necessary skill each practitioner must develop to avoid unnecessary distributions, taxes and disqualification consequences. Failing to take advantage of the different testing options can result in unnecessary distributions, reporting and additional taxes. Getting a handle on the various testing options can help transform a failing plan to one that passes, and thus, happier plan sponsors. In this webcast, we will address the availability of the different testing techniques before the plan year, during the plan year, and after the plan year.

  •          401(k) Testing Options
  •          Compensation options
  •          Who is and who isn’t an HCE?
  •          Correction Ordering Rules
  •          Timing of Correction

Our Speaker:


President, Forbes Retirement Plan Consulting

Stephen is an ERISA attorney and educator with 34 years of experience practicing and teaching in the retirement plan area. Recently, Mr. Forbes received ASPPA’s 2019 Educators Award. Stephen was vice president of SunGard in charge of Relius Education. He teaches seminars, conferences and webcasts on retirement plan compliance, design and correction. He also has drafted plan, 403(b), 457(b), 409A and IRA documents. Mr. Forbes was the author of “The Form 5500 Filing Guide” and the co-author of “The Pension Library.” Mr. Forbes was a Tax Law Specialist at the IRS National Office (Employee Plans Division) where he trained IRS employees, wrote IRS Notices and Revenue Rulings and participated in several Treasury regulations committees. 

 Continuing Education:

  • 2 CE for AIF 
  • 2 CE for CEBS
  • 2 CE for CFP 
  • 2 CECs for ERPA 
  • 2 CECs for JBEA
  • 2 CPEs for ASPPA certifications
  • 2 CECs for NIPA certifications
  • 2 hours for California CPAs 
  • 1.75 hours of California MCLE
  • 2 CECs for CRPS 


Please feel free to reach out to WP&BC with any questions.

Direct Questions To:




PO Box 13
Parker, CO 80134

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