NUA

One NUA requirement – The distribution must include all assets from all accounts sponsored by and held through the same employer

Question: Does this rule include a Defined Benefit plan?

Thank you



No, it does not. The LSD requirement is “full distribution of all qualified plans of one kind”.  DC plans such as 401k, 403b, and ESOPs are of one kind. A DB plan is not in that group, and neither are non qualified plans such as 457b plans.  If a participant has a balance in a wide variety of plans, it is always a good idea to confirm up front which plans must be distributed (or rolled over) in order to qualify for NUA and have the 1099R coded as such.

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