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ERISA Reporting and Disclosure: Statutory Exclusions and Exemptions

Penalties for Noncompliance and How to Avoid Them; Management Tools for Benefits Counsel and Plan Sponsors

Recording of a 90-minute premium CLE webinar with Q&A

This program is included with the Strafford CLE Pass. Click for more information.
This program is included with the Strafford All-Access Pass. Click for more information.

Conducted on Tuesday, August 14, 2018

Recorded event now available

or call 1-800-926-7926

This CLE course will provide counsel and compliance professionals guidance on the reporting and disclosure requirements of employee benefit plans under ERISA. The panel will examine the rules that require reporting financial and other plan information to various agencies, statutory exclusions and exemptions, and penalties of noncompliance and mechanisms to avoid them.


ERISA imposes a variety of complex and essential reporting and disclosure requirements on plan administrators. The rules require administrators report financial and other plan information to the IRS, DOL, and to plan participants and their beneficiaries.

The IRS has primary jurisdiction over participation, vesting and funding issues, and enforces compliance by imposing excise taxes and penalties. The DOL has primary jurisdiction over reporting, disclosure and fiduciary matters, and enforces compliance by imposing fines and bringing civil or criminal actions. Any violations of Title I of ERISA may lead to lawsuits filed against plan administrators by participants, beneficiaries, plan fiduciaries and the DOL, resulting in massive civil penalties.

Also, plan administrators are subject to criminal liability for knowingly making any false statement or misrepresentation or failing to disclose information necessary to verify the accuracy of reports submitted under Title I of ERISA. Counsel and compliance professionals must have in-depth knowledge of the rules and regulations for reporting and disclosure under ERISA to avoid claims and penalties.

Listen as our panel provides a detailed analysis of the reporting and disclosure rules under ERISA, statutory exclusions, and best practices in avoiding claims and penalties.



  1. ERISA reporting and disclosure requirements imposed on plan administrators
  2. Statutory exclusions and exemptions under DOL regulations
  3. Rules for financial and other plan information: reporting and disclosure to government agencies, participants and beneficiaries
  4. Noncompliance penalties and best practices to avoid them


The panel will review these and other crucial issues:

  • Plans subject to reporting and disclosure under ERISA
  • Exemptions and exclusions for specific plans
  • Form 5500 annual reporting
  • IRS and Treasury Department reporting requirements
  • DOL reporting requirements
  • Disclosures to participants and beneficiaries
  • Penalties for noncompliance with reporting and disclosure rules
  • Best practices for counsel and compliance professionals


Goodman, Sharon
Sharon M. Goodman

Slevin & Hart

Ms. Goodman focuses her practice on employee benefits law and has extensive experience in matters relating to...  |  Read More

Rickard, Emily
Emily Rickard

McDermott Will & Emery

Ms. Rickard focuses her practice on  employee benefits matters. In addition to employee benefits, she concentrates...  |  Read More

Watson, Roberta
Roberta Casper Watson

The Wagner Law Group

Ms. Watson focuses on ERISA and employee benefits. She concentrates on a wide array of areas including, pension and...  |  Read More

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