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Form 5310 Question


Eric Taylor

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Filing a 5310 for on a plan that was set up through a volume submitter. Question 3© of Form 5310 asks if the plan has previously received a Determination Letter? I have seen some answer this yes and others answer it no when the plan has only relied on the Opinion Letter issued to the volume submitter provider. I'm thinking when the 5310 asks about a DL, they mean an individual DL for that particular plan and so this should be answered no. Is there a correct way to do this. The instructions do not go into this sort of detail. Thanks.

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The agents I've spoken with have all indicated they really mean "Determination" letter. To them, that does not mean an opinion letter (for the prototype) or an advisory letter (for the volume submitter document) - they are not D letters for purposes of the Form 5310. Based on that, if this plan only has opinion letters and/or advisory letters, then you'd answer "No" for 3©.

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