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FINRA SAVINGS PLUS PLAN 401k Plan overview

Plan NameFINRA SAVINGS PLUS PLAN
Plan identification number 003

FINRA SAVINGS PLUS PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

FINRA has sponsored the creation of one or more 401k plans.

Company Name:FINRA
Employer identification number (EIN):530088710
NAIC Classification:813000
NAIC Description: Religious, Grantmaking, Civic, Professional, and Similar Organizations

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FINRA SAVINGS PLUS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0032023-01-01
0032022-01-01
0032021-01-01
0032020-01-01
0032019-01-01
0032018-01-01
0032017-01-01JEREMIOUS HENDERSON
0032016-01-01JEREMIOUS HENDERSON JEREMIOUS HENDERSON2017-10-11
0032015-01-01JEREMIOUS HENDERSON
0032014-01-01JEREMIOUS HENDERSON
0032013-01-01JEREMIOUS HENDERSON JEREMIOUS HENDERSON2014-10-07
0032012-01-01JEREMIOUS HENDERSON JEREMIOUS HENDERSON2013-10-10
0032011-01-01JEREMIOUS HENDERSON
0032009-01-01JAMES ALLEN

Plan Statistics for FINRA SAVINGS PLUS PLAN

401k plan membership statisitcs for FINRA SAVINGS PLUS PLAN

Measure Date Value
2023: FINRA SAVINGS PLUS PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-016,006
Total number of active participants reported on line 7a of the Form 55002023-01-014,201
Number of retired or separated participants receiving benefits2023-01-0166
Number of other retired or separated participants entitled to future benefits2023-01-011,872
Total of all active and inactive participants2023-01-016,139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-016
Total participants2023-01-016,145
Number of participants with account balances2023-01-016,135
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-01119
2022: FINRA SAVINGS PLUS PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-015,625
Total number of active participants reported on line 7a of the Form 55002022-01-013,958
Number of retired or separated participants receiving benefits2022-01-0170
Number of other retired or separated participants entitled to future benefits2022-01-011,973
Total of all active and inactive participants2022-01-016,001
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-015
Total participants2022-01-016,006
Number of participants with account balances2022-01-015,993
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-01201
2021: FINRA SAVINGS PLUS PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-015,421
Total number of active participants reported on line 7a of the Form 55002021-01-013,697
Number of retired or separated participants receiving benefits2021-01-0157
Number of other retired or separated participants entitled to future benefits2021-01-011,877
Total of all active and inactive participants2021-01-015,631
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-0110
Total participants2021-01-015,641
Number of participants with account balances2021-01-015,625
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-01193
2020: FINRA SAVINGS PLUS PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-015,171
Total number of active participants reported on line 7a of the Form 55002020-01-013,614
Number of retired or separated participants receiving benefits2020-01-0147
Number of other retired or separated participants entitled to future benefits2020-01-011,763
Total of all active and inactive participants2020-01-015,424
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-018
Total participants2020-01-015,432
Number of participants with account balances2020-01-015,421
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-01102
2019: FINRA SAVINGS PLUS PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-015,116
Total number of active participants reported on line 7a of the Form 55002019-01-013,463
Number of retired or separated participants receiving benefits2019-01-0144
Number of other retired or separated participants entitled to future benefits2019-01-011,673
Total of all active and inactive participants2019-01-015,180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-018
Total participants2019-01-015,188
Number of participants with account balances2019-01-015,171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-01187
2018: FINRA SAVINGS PLUS PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-015,020
Total number of active participants reported on line 7a of the Form 55002018-01-013,475
Number of retired or separated participants receiving benefits2018-01-0135
Number of other retired or separated participants entitled to future benefits2018-01-011,601
Total of all active and inactive participants2018-01-015,111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-015
Total participants2018-01-015,116
Number of participants with account balances2018-01-015,100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-01212
2017: FINRA SAVINGS PLUS PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-014,977
Total number of active participants reported on line 7a of the Form 55002017-01-013,544
Number of retired or separated participants receiving benefits2017-01-0125
Number of other retired or separated participants entitled to future benefits2017-01-011,450
Total of all active and inactive participants2017-01-015,019
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-011
Total participants2017-01-015,020
Number of participants with account balances2017-01-015,005
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-01192
2016: FINRA SAVINGS PLUS PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-014,896
Total number of active participants reported on line 7a of the Form 55002016-01-013,570
Number of retired or separated participants receiving benefits2016-01-0116
Number of other retired or separated participants entitled to future benefits2016-01-011,390
Total of all active and inactive participants2016-01-014,976
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-011
Total participants2016-01-014,977
Number of participants with account balances2016-01-014,954
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-01177
2015: FINRA SAVINGS PLUS PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-014,759
Total number of active participants reported on line 7a of the Form 55002015-01-013,575
Number of retired or separated participants receiving benefits2015-01-015
Number of other retired or separated participants entitled to future benefits2015-01-011,315
Total of all active and inactive participants2015-01-014,895
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-011
Total participants2015-01-014,896
Number of participants with account balances2015-01-014,867
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-01231
2014: FINRA SAVINGS PLUS PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-014,505
Total number of active participants reported on line 7a of the Form 55002014-01-013,526
Number of retired or separated participants receiving benefits2014-01-014
Number of other retired or separated participants entitled to future benefits2014-01-011,229
Total of all active and inactive participants2014-01-014,759
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-014,759
Number of participants with account balances2014-01-014,619
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-01166
2013: FINRA SAVINGS PLUS PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-014,414
Total number of active participants reported on line 7a of the Form 55002013-01-013,453
Number of retired or separated participants receiving benefits2013-01-012
Number of other retired or separated participants entitled to future benefits2013-01-011,050
Total of all active and inactive participants2013-01-014,505
Total participants2013-01-014,505
Number of participants with account balances2013-01-014,486
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-01161
2012: FINRA SAVINGS PLUS PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-014,273
Total number of active participants reported on line 7a of the Form 55002012-01-013,448
Number of retired or separated participants receiving benefits2012-01-011
Number of other retired or separated participants entitled to future benefits2012-01-01965
Total of all active and inactive participants2012-01-014,414
Total participants2012-01-014,414
Number of participants with account balances2012-01-014,386
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0182
2011: FINRA SAVINGS PLUS PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-014,039
Total number of active participants reported on line 7a of the Form 55002011-01-013,339
Number of retired or separated participants receiving benefits2011-01-011
Number of other retired or separated participants entitled to future benefits2011-01-01933
Total of all active and inactive participants2011-01-014,273
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-014,273
Number of participants with account balances2011-01-014,237
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0127
2009: FINRA SAVINGS PLUS PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-013,816
Total number of active participants reported on line 7a of the Form 55002009-01-012,843
Number of retired or separated participants receiving benefits2009-01-011
Number of other retired or separated participants entitled to future benefits2009-01-01857
Total of all active and inactive participants2009-01-013,701
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-011
Total participants2009-01-013,702
Number of participants with account balances2009-01-013,658
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on FINRA SAVINGS PLUS PLAN

Measure Date Value
2023 : FINRA SAVINGS PLUS PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets2023-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total income from all sources (including contributions)2023-12-31$479,634,691
Total loss/gain on sale of assets2023-12-31$0
Total of all expenses incurred2023-12-31$87,418,899
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$86,725,268
Value of total corrective distributions2023-12-31$17,651
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$149,472,637
Value of total assets at end of year2023-12-31$2,182,175,101
Value of total assets at beginning of year2023-12-31$1,789,959,309
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$675,980
Total interest from all sources2023-12-31$813,612
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$5,014,377
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2023-12-31$5,014,377
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$25,000,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$68,450,512
Participant contributions at end of year2023-12-31$14,461,285
Participant contributions at beginning of year2023-12-31$13,335,804
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$12,420,923
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2023-12-31$565,364
Other income not declared elsewhere2023-12-31$533,443
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$392,215,792
Value of net assets at end of year (total assets less liabilities)2023-12-31$2,182,175,101
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$1,789,959,309
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Investment advisory and management fees2023-12-31$675,980
Value of interest in registered invesment companies (eg mutual funds) at end of year2023-12-31$150,838,712
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2023-12-31$178,848,097
Interest on participant loans2023-12-31$813,612
Value of interest in common/collective trusts at end of year2023-12-31$2,015,399,683
Value of interest in common/collective trusts at beginning of year2023-12-31$1,596,315,527
Net investment gain/loss from registered investment companies (e.g. mutual funds)2023-12-31$22,209,582
Net investment gain or loss from common/collective trusts2023-12-31$301,591,040
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$68,601,202
Employer contributions (assets) at end of year2023-12-31$1,475,421
Employer contributions (assets) at beginning of year2023-12-31$1,459,881
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$86,159,904
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31ERNST & YOUNG LLP
Accountancy firm EIN2023-12-31346565596
2022 : FINRA SAVINGS PLUS PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-194,178,268
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$60,322,596
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$59,664,809
Value of total corrective distributions2022-12-31$558
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$127,731,690
Value of total assets at end of year2022-12-31$1,789,959,309
Value of total assets at beginning of year2022-12-31$2,044,460,173
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$657,229
Total interest from all sources2022-12-31$646,811
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$14,279,398
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$14,279,398
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$25,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$60,019,259
Participant contributions at end of year2022-12-31$13,335,804
Participant contributions at beginning of year2022-12-31$13,209,120
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$8,131,849
Other income not declared elsewhere2022-12-31$54,020
Administrative expenses (other) incurred2022-12-31$26,453
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-254,500,864
Value of net assets at end of year (total assets less liabilities)2022-12-31$1,789,959,309
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$2,044,460,173
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$630,776
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$178,848,097
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$1,052,051,702
Interest on participant loans2022-12-31$646,811
Value of interest in common/collective trusts at end of year2022-12-31$1,596,315,527
Value of interest in common/collective trusts at beginning of year2022-12-31$972,866,435
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-154,439,399
Net investment gain or loss from common/collective trusts2022-12-31$-182,450,788
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$59,580,582
Employer contributions (assets) at end of year2022-12-31$1,459,881
Employer contributions (assets) at beginning of year2022-12-31$6,332,916
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$59,664,809
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31ERNST & YOUNG LLP
Accountancy firm EIN2022-12-31346565596
2021 : FINRA SAVINGS PLUS PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$382,513,227
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$68,853,204
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$68,160,993
Value of total corrective distributions2021-12-31$21,744
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$122,751,574
Value of total assets at end of year2021-12-31$2,044,460,173
Value of total assets at beginning of year2021-12-31$1,730,800,150
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$670,467
Total interest from all sources2021-12-31$668,452
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$39,794,021
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$39,794,021
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$25,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$54,739,726
Participant contributions at end of year2021-12-31$13,209,120
Participant contributions at beginning of year2021-12-31$13,828,782
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$9,232,149
Other income not declared elsewhere2021-12-31$8,522
Administrative expenses (other) incurred2021-12-31$6,053
Total non interest bearing cash at end of year2021-12-31$6,332,916
Total non interest bearing cash at beginning of year2021-12-31$6,318,966
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$313,660,023
Value of net assets at end of year (total assets less liabilities)2021-12-31$2,044,460,173
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$1,730,800,150
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$664,414
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$1,052,051,702
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$897,046,126
Interest on participant loans2021-12-31$668,452
Value of interest in common/collective trusts at end of year2021-12-31$972,866,435
Value of interest in common/collective trusts at beginning of year2021-12-31$813,606,276
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$127,626,610
Net investment gain or loss from common/collective trusts2021-12-31$91,664,048
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$58,779,699
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$68,160,993
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31ERNST & YOUNG LLP
Accountancy firm EIN2021-12-31346565596
2020 : FINRA SAVINGS PLUS PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total transfer of assets to this plan2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$333,679,511
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$84,664,822
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$84,107,931
Value of total corrective distributions2020-12-31$193
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$120,233,001
Value of total assets at end of year2020-12-31$1,730,800,150
Value of total assets at beginning of year2020-12-31$1,481,785,461
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$556,698
Total interest from all sources2020-12-31$761,601
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$23,850,631
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$23,850,631
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$25,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$50,172,653
Participant contributions at end of year2020-12-31$13,828,782
Participant contributions at beginning of year2020-12-31$14,117,320
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$16,444,206
Other income not declared elsewhere2020-12-31$2,904
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$249,014,689
Value of net assets at end of year (total assets less liabilities)2020-12-31$1,730,800,150
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$1,481,785,461
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$556,698
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$897,046,126
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$777,792,046
Interest on participant loans2020-12-31$761,601
Value of interest in common/collective trusts at end of year2020-12-31$813,606,276
Value of interest in common/collective trusts at beginning of year2020-12-31$683,527,409
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$103,999,805
Net investment gain or loss from common/collective trusts2020-12-31$84,831,569
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$53,616,142
Employer contributions (assets) at end of year2020-12-31$6,318,966
Employer contributions (assets) at beginning of year2020-12-31$6,348,686
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$84,107,931
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31ERNST & YOUNG LLP
Accountancy firm EIN2020-12-31346565596
2019 : FINRA SAVINGS PLUS PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$357,396,098
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$51,659,044
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$51,152,129
Value of total corrective distributions2019-12-31$2,138
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$100,425,544
Value of total assets at end of year2019-12-31$1,481,785,461
Value of total assets at beginning of year2019-12-31$1,176,048,407
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$504,777
Total interest from all sources2019-12-31$755,232
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$20,572,045
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$20,572,045
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$25,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$46,093,114
Participant contributions at end of year2019-12-31$14,117,320
Participant contributions at beginning of year2019-12-31$14,336,511
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$5,646,553
Other income not declared elsewhere2019-12-31$9,706
Administrative expenses (other) incurred2019-12-31$386
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$305,737,054
Value of net assets at end of year (total assets less liabilities)2019-12-31$1,481,785,461
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$1,176,048,407
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$504,391
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$777,792,046
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$603,044,581
Interest on participant loans2019-12-31$755,232
Value of interest in common/collective trusts at end of year2019-12-31$683,527,409
Value of interest in common/collective trusts at beginning of year2019-12-31$552,398,728
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$136,997,310
Net investment gain or loss from common/collective trusts2019-12-31$98,636,261
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$48,685,877
Employer contributions (assets) at end of year2019-12-31$6,348,686
Employer contributions (assets) at beginning of year2019-12-31$6,268,587
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$51,152,129
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Unqualified
Accountancy firm name2019-12-31ERNST & YOUNG LLP
Accountancy firm EIN2019-12-31346565596
2018 : FINRA SAVINGS PLUS PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total transfer of assets to this plan2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$29,880,658
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$42,466,117
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$42,023,764
Value of total corrective distributions2018-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$95,205,897
Value of total assets at end of year2018-12-31$1,176,048,407
Value of total assets at beginning of year2018-12-31$1,188,633,866
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$442,353
Total interest from all sources2018-12-31$677,172
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$21,819,994
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$21,819,994
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$25,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$44,164,702
Participant contributions at end of year2018-12-31$14,336,511
Participant contributions at beginning of year2018-12-31$13,766,597
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$4,411,768
Other income not declared elsewhere2018-12-31$15,543
Administrative expenses (other) incurred2018-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-12,585,459
Value of net assets at end of year (total assets less liabilities)2018-12-31$1,176,048,407
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$1,188,633,866
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$442,353
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$603,044,581
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$623,649,672
Interest on participant loans2018-12-31$677,172
Value of interest in common/collective trusts at end of year2018-12-31$552,398,728
Value of interest in common/collective trusts at beginning of year2018-12-31$544,671,779
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-62,107,714
Net investment gain or loss from common/collective trusts2018-12-31$-25,730,234
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$46,629,427
Employer contributions (assets) at end of year2018-12-31$6,268,587
Employer contributions (assets) at beginning of year2018-12-31$6,545,818
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$42,023,764
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Unqualified
Accountancy firm name2018-12-31ERNST & YOUNG LLP
Accountancy firm EIN2018-12-31346565596
2017 : FINRA SAVINGS PLUS PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$261,193,890
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$42,573,725
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$42,152,853
Value of total corrective distributions2017-12-31$3,603
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$97,947,234
Value of total assets at end of year2017-12-31$1,188,633,866
Value of total assets at beginning of year2017-12-31$970,013,701
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$417,269
Total interest from all sources2017-12-31$565,806
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$13,515,794
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$13,515,794
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$25,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$43,363,742
Participant contributions at end of year2017-12-31$13,766,597
Participant contributions at beginning of year2017-12-31$13,205,360
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$7,884,923
Other income not declared elsewhere2017-12-31$2,465
Administrative expenses (other) incurred2017-12-31$18,085
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$218,620,165
Value of net assets at end of year (total assets less liabilities)2017-12-31$1,188,633,866
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$970,013,701
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Investment advisory and management fees2017-12-31$399,184
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$623,649,672
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$507,370,807
Interest on participant loans2017-12-31$565,806
Value of interest in common/collective trusts at end of year2017-12-31$544,671,779
Value of interest in common/collective trusts at beginning of year2017-12-31$439,597,041
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$84,750,777
Net investment gain or loss from common/collective trusts2017-12-31$64,411,814
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$46,698,569
Employer contributions (assets) at end of year2017-12-31$6,545,818
Employer contributions (assets) at beginning of year2017-12-31$9,840,493
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$42,152,853
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31ERNST & YOUNG LLP
Accountancy firm EIN2017-12-31346565596
2016 : FINRA SAVINGS PLUS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$153,800,270
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$36,162,106
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$35,813,406
Value of total corrective distributions2016-12-31$9,971
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$82,715,572
Value of total assets at end of year2016-12-31$970,013,701
Value of total assets at beginning of year2016-12-31$852,375,537
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$338,729
Total interest from all sources2016-12-31$556,785
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$10,854,031
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$10,854,031
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$25,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$42,316,773
Participant contributions at end of year2016-12-31$13,205,360
Participant contributions at beginning of year2016-12-31$13,933,116
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$6,943,032
Other income not declared elsewhere2016-12-31$1,960
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$117,638,164
Value of net assets at end of year (total assets less liabilities)2016-12-31$970,013,701
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$852,375,537
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$338,729
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$507,370,807
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$456,299,838
Interest on participant loans2016-12-31$556,785
Value of interest in common/collective trusts at end of year2016-12-31$439,597,041
Value of interest in common/collective trusts at beginning of year2016-12-31$373,125,932
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$34,008,961
Net investment gain or loss from common/collective trusts2016-12-31$25,662,961
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$33,455,767
Employer contributions (assets) at end of year2016-12-31$9,840,493
Employer contributions (assets) at beginning of year2016-12-31$9,016,651
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$35,813,406
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31ERNST & YOUNG LLP
Accountancy firm EIN2016-12-31346565596
2015 : FINRA SAVINGS PLUS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total transfer of assets to this plan2015-12-31$144,488
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$77,381,283
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$34,190,955
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$33,893,452
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$84,476,386
Value of total assets at end of year2015-12-31$852,375,537
Value of total assets at beginning of year2015-12-31$809,040,721
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$297,503
Total interest from all sources2015-12-31$564,745
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$12,213,424
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$12,213,424
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$25,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$41,403,461
Participant contributions at end of year2015-12-31$13,933,116
Participant contributions at beginning of year2015-12-31$13,627,910
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$11,699,396
Other income not declared elsewhere2015-12-31$21,569
Administrative expenses (other) incurred2015-12-31$8,177
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$43,190,328
Value of net assets at end of year (total assets less liabilities)2015-12-31$852,375,537
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$809,040,721
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$289,326
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$456,299,838
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$445,113,509
Interest on participant loans2015-12-31$564,745
Value of interest in common/collective trusts at end of year2015-12-31$373,125,932
Value of interest in common/collective trusts at beginning of year2015-12-31$341,857,294
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-15,582,203
Net investment gain or loss from common/collective trusts2015-12-31$-4,312,638
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$31,373,529
Employer contributions (assets) at end of year2015-12-31$9,016,651
Employer contributions (assets) at beginning of year2015-12-31$8,442,008
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$33,893,452
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31ERNST & YOUNG LLP
Accountancy firm EIN2015-12-31346565596
2014 : FINRA SAVINGS PLUS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$130,108,343
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$60,390,494
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$60,146,671
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$82,115,199
Value of total assets at end of year2014-12-31$809,040,721
Value of total assets at beginning of year2014-12-31$739,322,872
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$243,823
Total interest from all sources2014-12-31$541,531
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$21,070,292
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$21,070,292
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$25,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$38,173,061
Participant contributions at end of year2014-12-31$13,627,910
Participant contributions at beginning of year2014-12-31$13,158,964
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$15,711,892
Other income not declared elsewhere2014-12-31$9,308
Administrative expenses (other) incurred2014-12-31$11,108
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$69,717,849
Value of net assets at end of year (total assets less liabilities)2014-12-31$809,040,721
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$739,322,872
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$232,715
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$445,113,509
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$410,003,443
Interest on participant loans2014-12-31$541,531
Value of interest in common/collective trusts at end of year2014-12-31$341,857,294
Value of interest in common/collective trusts at beginning of year2014-12-31$307,598,661
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$8,971,131
Net investment gain or loss from common/collective trusts2014-12-31$17,400,882
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$28,230,246
Employer contributions (assets) at end of year2014-12-31$8,442,008
Employer contributions (assets) at beginning of year2014-12-31$8,561,804
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$60,146,671
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31ERNST & YOUNG LLP
Accountancy firm EIN2014-12-31346565596
2013 : FINRA SAVINGS PLUS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$184,272,982
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$27,174,753
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$27,033,729
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$71,140,964
Value of total assets at end of year2013-12-31$739,322,872
Value of total assets at beginning of year2013-12-31$582,224,643
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$141,024
Total interest from all sources2013-12-31$499,760
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$15,306,238
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$15,306,238
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$25,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$38,162,060
Participant contributions at end of year2013-12-31$13,158,964
Participant contributions at beginning of year2013-12-31$12,016,822
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$5,315,995
Other income not declared elsewhere2013-12-31$897
Administrative expenses (other) incurred2013-12-31$286
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$157,098,229
Value of net assets at end of year (total assets less liabilities)2013-12-31$739,322,872
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$582,224,643
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$140,738
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$410,003,443
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$468,068,239
Interest on participant loans2013-12-31$499,760
Value of interest in common/collective trusts at end of year2013-12-31$307,598,661
Value of interest in common/collective trusts at beginning of year2013-12-31$97,046,781
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$74,740,386
Net investment gain or loss from common/collective trusts2013-12-31$22,584,737
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$27,662,909
Employer contributions (assets) at end of year2013-12-31$8,561,804
Employer contributions (assets) at beginning of year2013-12-31$5,092,801
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$27,033,729
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31ERNST & YOUNG LLP
Accountancy firm EIN2013-12-31346565596
2012 : FINRA SAVINGS PLUS PLAN 2012 401k financial data
Total income from all sources (including contributions)2012-12-31$121,964,981
Total of all expenses incurred2012-12-31$23,920,963
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$23,799,811
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$61,762,365
Value of total assets at end of year2012-12-31$582,224,643
Value of total assets at beginning of year2012-12-31$484,180,625
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$121,152
Total interest from all sources2012-12-31$456,405
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$11,887,161
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$11,887,161
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$25,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$35,555,987
Participant contributions at end of year2012-12-31$12,016,822
Participant contributions at beginning of year2012-12-31$11,429,155
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$3,801,851
Other income not declared elsewhere2012-12-31$5,082
Administrative expenses (other) incurred2012-12-31$587
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$98,044,018
Value of net assets at end of year (total assets less liabilities)2012-12-31$582,224,643
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$484,180,625
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$120,565
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$468,068,239
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$380,845,004
Interest on participant loans2012-12-31$456,405
Value of interest in common/collective trusts at end of year2012-12-31$97,046,781
Value of interest in common/collective trusts at beginning of year2012-12-31$87,152,346
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$44,928,995
Net investment gain or loss from common/collective trusts2012-12-31$2,924,973
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$22,404,527
Employer contributions (assets) at end of year2012-12-31$5,092,801
Employer contributions (assets) at beginning of year2012-12-31$4,754,120
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$23,799,811
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31ERNST & YOUNG LLP
Accountancy firm EIN2012-12-31346565596
2011 : FINRA SAVINGS PLUS PLAN 2011 401k financial data
Total income from all sources (including contributions)2011-12-31$52,305,566
Total of all expenses incurred2011-12-31$20,499,054
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$20,379,507
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$55,481,156
Value of total assets at end of year2011-12-31$484,180,625
Value of total assets at beginning of year2011-12-31$452,374,113
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$119,547
Total interest from all sources2011-12-31$430,712
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$9,244,051
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$9,244,051
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$25,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$32,885,597
Participant contributions at end of year2011-12-31$11,429,155
Participant contributions at beginning of year2011-12-31$10,392,821
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$3,990,236
Other income not declared elsewhere2011-12-31$11,125
Administrative expenses (other) incurred2011-12-31$12,708
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$31,806,512
Value of net assets at end of year (total assets less liabilities)2011-12-31$484,180,625
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$452,374,113
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$106,839
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$380,845,004
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$360,157,185
Interest on participant loans2011-12-31$430,712
Value of interest in common/collective trusts at end of year2011-12-31$87,152,346
Value of interest in common/collective trusts at beginning of year2011-12-31$77,538,963
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-16,133,864
Net investment gain or loss from common/collective trusts2011-12-31$3,272,386
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$18,605,323
Employer contributions (assets) at end of year2011-12-31$4,754,120
Employer contributions (assets) at beginning of year2011-12-31$4,285,144
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$20,379,507
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31ERNST & YOUNG LLP
Accountancy firm EIN2011-12-31346565596
2010 : FINRA SAVINGS PLUS PLAN 2010 401k financial data
Total income from all sources (including contributions)2010-12-31$101,704,064
Total of all expenses incurred2010-12-31$23,068,053
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$22,969,745
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$56,037,677
Value of total assets at end of year2010-12-31$452,374,113
Value of total assets at beginning of year2010-12-31$373,738,102
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$98,308
Total interest from all sources2010-12-31$313,835
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$8,342,780
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$8,342,780
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$25,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$30,678,283
Participant contributions at end of year2010-12-31$10,392,821
Participant contributions at beginning of year2010-12-31$6,419,059
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$8,860,311
Other income not declared elsewhere2010-12-31$1,026
Administrative expenses (other) incurred2010-12-31$8,741
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$78,636,011
Value of net assets at end of year (total assets less liabilities)2010-12-31$452,374,113
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$373,738,102
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Investment advisory and management fees2010-12-31$89,567
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$360,157,185
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$292,797,044
Interest on participant loans2010-12-31$313,835
Value of interest in common/collective trusts at end of year2010-12-31$77,538,963
Value of interest in common/collective trusts at beginning of year2010-12-31$73,115,309
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$34,099,057
Net investment gain or loss from common/collective trusts2010-12-31$2,909,689
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$16,499,083
Employer contributions (assets) at end of year2010-12-31$4,285,144
Employer contributions (assets) at beginning of year2010-12-31$1,406,690
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$22,969,745
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31ERNST & YOUNG LLP
Accountancy firm EIN2010-12-31346565596
2009 : FINRA SAVINGS PLUS PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for FINRA SAVINGS PLUS PLAN

2023: FINRA SAVINGS PLUS PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01Submission has been amendedNo
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planNo
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement - TrustYes
2022: FINRA SAVINGS PLUS PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: FINRA SAVINGS PLUS PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: FINRA SAVINGS PLUS PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: FINRA SAVINGS PLUS PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: FINRA SAVINGS PLUS PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: FINRA SAVINGS PLUS PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: FINRA SAVINGS PLUS PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: FINRA SAVINGS PLUS PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: FINRA SAVINGS PLUS PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: FINRA SAVINGS PLUS PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: FINRA SAVINGS PLUS PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: FINRA SAVINGS PLUS PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: FINRA SAVINGS PLUS PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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