Roth Over Contribution under the Secure Act 2.0

The Secure Act 2.0 in 2023 put in a limitation of 6 years that the IRS can charge a 6% excise tax on over contributions to a Roth. Does that mean that after paying that excise tax for the over contribution it and any gains are in the clear and can remain without issue in the eyes of the IRS? Essentially, does paying the excise tax for 6 years clean things up without the need to remove the over contribution?



No.  The change just causes the statute-of-limitations clock for assessing a particular year’s excess-contribution penalty to be based on the filing of the individual’s income tax return for that year rather than, as the IRS has done in the past, the filing of Form 5329 for that year.  The change does nothing to eliminate the excess itself, so the IRS could assess the excess-contribution penalty for any year for which the statute of limitations deadline has not yet passed.

Sec 313 of Secure 2.0 was effective on the date of enactment. Does this apply to 1040 returns filed prior to enactment or just those filed post enactment?  If it applies to prior returns, would the 5329 SOL be preempted by the 1040 SOL and would some 5329 excise taxes by subject to refund?

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