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ARTICLE · 23 OCTOBER 2020

DOL Proposed Pooled Plan Provider Registration Rule

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The Setting Every Community Up for Retirement Enhancement Act of 2019 (Pub. L. 116-94, Division O, the "SECURE Act") ...

United StatesEmployment and HR
Michael Kreps
Michael Kreps
David Levine
David Levine
George Sepsakos
George Sepsakos
Brigen Winters
Brigen Winters
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The Setting Every Community Up for Retirement Enhancement Act of 2019 (Pub. L. 116-94, Division O, the "SECURE Act") created a new structure through which completely unrelated employers can participate in a single defined contribution plan beginning on January 1, 2021. These Pooled Employer Plans ("PEPs") must have a Pooled Plan Provider ("PPP"), and each PPP must register with the Department of Labor ("DOL") prior to beginning operations. On August 20, 2020, DOL released a proposed regulation (the "Proposed Rule") detailing the PPP registration requirements. The Proposed Rule is open for comment for 30 days from the date of publication in the Federal Register.

Proposed Rule

Under section 3(44) of the Employee Retirement Income Security Act of 1974 (added by the SECURE Act), every PEP must designate in the plan a PPP who is a named fiduciary, plan administrator, and person responsible to perform all administrative duties. A PPP must, among other things, register

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