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Tools to help with Form 5500 and plan financial statements

As a retirement plan sponsor, you face rigorous new reporting requirements at the end of this calendar year. To help in complying, you need to start collecting and saving extensive additional data now.

New requirements for reporting

For the first time, you are required to formally document information you haven't had to set in writing before. The new requirements come from two separate agencies:

  1. The Financial Accounting Standards Board (FASB) now requires more disclosures on retirement plan financial statements about the fair value measurements being used in valuing the plan's assets or investments for plan years after November 15, 2007.
  2. The Department of Labor (DOL) now requires additional information on fees and expenses for the Form 5500 Annual Report and mandates that it be filed electronically for the 2009 plan year.

Tools you can use

You can use these tools to help with your administrative duties and get a jump-start on meeting the new requirements:

These materials include special information for ERISA 403(b) sponsors as this is the first time those plans will have to file a full Form 5500.


As always, contact your representative of the Principal Financial Group® with questions or for additional information.


Insurance products and plan administrative services are provided by Principal Life Insurance Company. Principal Funds, Inc. is distributed by Principal Funds Distributor, Inc. Securities are offered through Princor Financial Services Corporation, 800.547.7754, Member SIPC and/or independent broker/dealers. Securities sold by a Princor Registered Representative are offered through Princor®. Principal Funds Distributor, Princor and Principal Life are members of the Principal Financial Group®, Des Moines, IA 50392. Certain investment options may not be available in all states or U.S. commonwealths.

Before investing in mutual funds, investors should carefully consider the investment objectives, risks, charges and expenses of the funds. This and other information is contained in the free prospectus, which can be obtained from your local representative or by contacting us at 1.800.547.7754. Please read the prospectus carefully before investing.

Have a question? Call us at 1.800.986.3343

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