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Contact Us
  • Call: 1-877-403bREG (2734)
  • E-mail: 403(b)REG
Step 2 - Establish communication with your Vendors

Action Item(s):

Assemble list of active and inactive vendors

Communicate with all vendors regarding information-sharing agreement

Send each vendor the vendor compliance questionnaire

Communicate with all vendors regarding service provider (hold-harmless) agreement

Resources:

Vendor compliance questionnaire [PDF]

Qualified service provider (hold-harmless) agreement [PDF]

403(b) information-sharing agreement [PDF] (Required only for exchanges to accounts outside the plan)

Vendor Compliance Letters: 
 

Vendor initial cover letter [DOC]

Vendor thank you letter [DOC]

Vendor missing information letter [DOC]

Vendor reminder letter [DOC]

Action Item(s):

Evaluate vendor questionnaire results

Select approved providers associated with your plan

Notify vendors and participants of final vendor selection

Resources:

403(b) vendor compliance questionnaire score card [PDF]

403(b) vendor compliance questionnaire score card totals [PDF]

Authorized 403(b) provider list [PDF]

Employee notification [DOC]

Active vendor notification [PDF]

Inactive vendor notification [PDF]