Service After the Installation

This section reviewed the administrative duties and responsibilities associated with the ongoing operation of a qualified retirement plan.

1. All the following services are available ONLY with full-service retirement plans, EXCEPT:
   1. Issue of Quarterly & Annual Participant Statements
   2. Discrimination Testing
   3. Prepare Participant Reports (e.g., Summary Plan Descriptions)
   4. Prepare DOL Form 5500
2. The Department of Labor form used to report the general condition of the plan annually is the:
   1. Form PBGC-1
   2. Form 5300
   3. Form 5500
   4. Form SSA
3. Review the brochure Qualified Retirement Plans Sales Process and Time Standards (Form 3621), then answer the following questions:
   1. What are the chief responsibilities of the financial professional during the fourth phase of the plan process (Ongoing Operation)?

   2. What are the chief responsibilities of the plan sponsor (i.e., client) during the Ongoing Operation phase of the plan?

Please print this Action Assignment using the "Printer Friendly" button at the top of this page. Once it is complete, sign it and submit it to your General Agent for his or her signature. Give one signed copy to the General Agent and fax/send another copy to Field Development Operations at the corporate headquarters — (513) 794-4515.

Unit XXI: Qualified Retirement Plans
Section VII Action Assignment Satisfactorily Completed

DATE: __________	SIGN OFF
General Agent/Trainer:
Sales Associate:
Firm (Print):

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