signed_Amendment_0002_Attachment_-_Q&A.pdf

TO: PROSPECTIVE QUOTERS

SUBJECT: Amendment #0002 to 50310219Q0044

DATE: March 21, 2019

Questions/Answers:

Q1: What is the name of the trust or plan?

A1: The name of the trust or plan is U.S. Securities and Exchange Commission Supplemental Retirement Plan.

Q2: What is the policy period requested?

A2: The policy period requested would occur from May 2019 to May 2024.

Q3: If the trust or plan does not retain an independent investment manager, who makes the investment decisions?

A3: The Oversight Committee or the Supplemental Retirement Plan (SRP) will make investment decisions.

Q4: Who administers the daily operations of the trust or plan?

A4: The Agency will assign administrative staff (internally) to administer daily operations of the trust or plan.

Q5: What is the size of the trust or plan?

A5: The size of the plan is as follows:

Year Total Assets ($) Annual Contribution

Number of Participants

2018 76,025,000 23,038,000 4424 2017 64,199,000 21,675,000 4436 2016 50,397,000 20,494,000 4429

Q6: Has the name of the trust or plan been changed?

A6: No. The name of the trust or plan has not changed.

Q7: Has any other trust or plan been added or merged into the trust or plan?

A7: No. No other trust or plan has been added or merged into the trust or plan.

Q8: Have there been any trust or plan terminations in the past 3 years?

A8: No. There have been no trust or plan terminations in the past 3 years.

Q9: Were benefits from terminated plans secured by the purchase of annuities?

A9: No. There are no benefits from terminated plans secured by the purchase of annuities.

Q10: Do the plans conform to the standards of eligibility, participation, vesting, funding and other provisions of ERISA?

A10: No. This plan is not subject to ERISA.

Q11: Have the plans been reviewed to assure that there are no violations of prohibited transactions and party-in-interest rules?

A11: Yes. Independent Legal Counsel has reviewed the plan to assure that there are no violations of prohibited transactions and party-in-interest rules.

Q12: Has an actuary certified that the plans are adequately funded?

A12: No. An actuary has not certified that the plans are adequately funded.

Q13: Are there any outstanding delinquent contributions?

A13: No. There are no outstanding delinquent contributions.

Q14: Have any plans experienced any event reportable to the PBGC?

A14: No. The plan has not experienced any event reportable to the PBGC.

Q15: Were any plan loans or obligations due the plan in default or classified as uncollectible during the plan year?

A15: No.

Q16: Has any fiduciary been accused, found guilty or held liable for a breach of trust?

A16: No.

Q17: Has any fiduciary been convicted of criminal conduct?

A17: No.

Q18: Has any fiduciary been refused coverage under a fidelity bond?

A18: No.

Q19: Has any claims (other than for benefits) been made during the past 5 years against any trust or plan or any current or past fiduciaries?

A19: No.

Q 20: Is there a FORM 5500 – Annual returns for Benefits plan available for the U.S. SEC Supplemental Retirement available?

A20: The SEC Supplement Retirement Plan is not subject to the Employee Retirement Income Security Act of 1974 (ERISA), therefore, a Form 5500 is not required.

Q21: What limit of coverage is requested?

A21: At this time the Government is requesting that vendors provide coverage recommendations for fiduciary liability insurance in the quotes based on the plan asset and participation information provided.

Q22: Are there any financial statement for the plan that we can provide the carrier, detailing allocation of assets and annual contributions?

A22: At present financial statement information for the plan is not available. Please refer to Question 5 (Q5) and Answer 5 (A5).

If you have any questions regarding this material, please contact the Contracting Officer at (202) 551-7318, or email: CarterL@sec.gov.

LaToya Carter Contracting Officer U.S. Securities and Exchange Commission Office of Acquisition