Administrative Forms

All ABA Retirement Funds program forms can be printed or downloaded from this page. Please note any required supplemental notices have been attached to the appropriate PDF files for your convenience. The files can be previewed, printed and/or saved by clicking on the document name below. Each form is interactive, which means you can complete it right on your desktop before printing it out for signature.

Plan Administrators who need assistance in completing forms can visit ePAG, the new online Plan Administrator Guide, by going to Administrator Log-In, then clicking on “Visit ePAG”.

Self-Directed Brokerage Account Information and Application

The Enrollment Package is available to member firms and can be located as previously communicated.  If you are unable to access the electronic Enrollment Package or would like a hard copy, please call 800.752.6313 or email us at contactus@abaretirement.com.

Changes Affecting Individual Accounts
Beneficiary Designation Form 

Complete this form to elect a primary and contingent beneficiary(ies) for your account.

Change of Investment Election

Complete this form to change your investment elections for future employer and/or employee contributions.

Loan Repayment Remittance Form

Complete this form if you have separated from service with the employer and are continuing to make loan repayments directly to the Program. This form should be accompanied by a check payable to “ABA Retirement Funds Program.”

Durable Power of Attorney and Indemnity

Participants may elect to have a Power of Attorney on file by completing this form.

Participant Data Change Form

Complete this form to notify the Program of a change in employment or marital status, address or name. If changing your name, please provide either a certified copy of your marriage certificate or copy of your divorce decree or other court order.
Withdrawals and Distributions
In-Service Withdrawal Form with Special Tax Notice, Notice of Benefits and Benefit Payments Form and Notice of Waiver of Annuity and Election of Alternate Benefit Payment Form
Participants in a full-service plan may complete this form to request an in-service withdrawal based on meeting specific service and/or age requirements in the plan.

Distribution Request Form with Special Tax Notice, Notice of Benefits and Benefit Payments Form and Notice of Waiver of Annuity and Election of Alternate Benefit Payment Form
Complete this form to request a distribution from a full-service plan if you have separated from service with the employer, attained a disability that renders you unable to work, you are an alternate payee who has received assets from a participant’s account due to a divorce, or the entire plan is being terminated by the employer.

Death Benefits Claim Form with Special Tax Notice and Notice of Benefits and Benefit Payments Form
 
Complete this form to claim benefits from a deceased participant’s account in a full-service plan.

Electronic Direct Deposit of Distributions Form 

Participants receiving non-rollover distributions may complete this form, along with the Distribution Request Form, In-Service Withdrawal Form, Hardship Withdrawal Form, Death Benefits Claim Form or Required Minimum Distribution Form, to have the funds electronically deposited into their personal bank account.

Hardship Withdrawal Form with Special Tax Notice and Notice of Benefits and Benefit Payments Form
Complete this form to request a 401(k) or non-401(k) hardship withdrawal for a full-service plan. Please see your plan administrator for qualifying requests. Also bear in mind that loan availability and other eligible withdrawals may have to be exhausted first, and that you must still be employed by the employer that sponsors the plan.

Inter-Plan Transfer Form In-Kind Direct Rollover
Complete this form, in addition to the Distribution Request Form, if you are moving your assets from one full-service ABA Retirement Funds Program plan to another full-service ABA Retirement Funds Program plan.

Loan Reamortization Request Form with Special Tax Notice, Notice of Benefits and Benefit Payments Form and Notice of Waiver of Annuity and Election of Alternate Benefit Payment Form
Complete this form to change loan payment frequency or loan payment amounts on existing loans in a full-service plan.

Loan Request Form with Special Tax Notice, Notice of Benefits and Benefit Payments Form and Notice of Waiver of Annuity and Election of Alternate Benefit Payment Form
Complete this form to request a loan from your retirement account in a full-service plan, only if you do not have access to your account via the website or the automated voice response unit at (800) 348-2272.

Required Minimum Distribution Form with Special Tax Notice, Notice of Benefits and Benefit Payments Form and Notice of Waiver of Annuity and Election of Alternate Benefit Payment Form
Complete this form to request a Required Minimum Distribution from a full-service plan.

Annuity Quote/Purchase Form
Participants may complete this form to request that the Program obtain annuity quotes for accounts within a money purchase pension plan. This option is not available for participants in a profit sharing plan.
Plan Administrator Level Forms
Contribution and Loan Repayment Remittance Form
Plan Administrators must submit this completed form with all contributions and/or loan repayments.

Corrective Measures for Contributions 
Plan Administrators should use this form to make corrective distributions, reallocations or refunds from participant accounts. Please review the attached instructions before completing the form.

Corrective Measures for Contributions Plan Administrators should use this form to make corrective distributions, reallocations or refunds from participant accounts. Please review the attached instructions before completing the form.
> Instructions for Completing The Corrective Measures for Contributions
> Summary Of the Types Of Excess Funds Occurring In Participants’ Accounts and the Allowable Corrective Measures

Eligible Not Participating Form (401(k) plans only)
Plan Administrators should use this form to add someone to the plan who is eligible to make 401(k) contributions but chooses not to.  This allows the Program to add the employee to the recordkeeping system so that he or she will properly be included in the Form 5500 participant count and to receive the required 404a-5 Participant Disclosures.


NOTE: This form should not be used to enroll someone for whom a contribution of any kind is being made. To do that, please use the Enrollment Form, found in the Enrollment Package for New Participant.

Investment Only Plan Disbursement Form
To be completed only by the plan administrator of an investment only plan to request distributions, loans or withdrawals.

Loan Default Form
To be completed by Plan Administrator to default outstanding participant loans in a full-service plan.

Notification of Contributions/Loan Repayments by Wire
Plan Administrators must complete this form in conjunction with the Contribution/Loan Repayment Remittance form if the funds being contributed are to be wired to the Program.

Qualified Domestic Relations Order Review Sheet
This form must be completed by the Plan Administrator, and submitted with any QDROs.

Rollover Certification Form for Individual Participant
Plan Administrators must submit this form for a participant making a rollover contribution from another Individual Retirement Account or employer plan. See the form for other eligible rollover contributions that can be made.

Sponsor Web Activation Request Form
Check out the Program's Digital Resources Guide to help you locate the resources you need for any Program related task.
CAN'T FIND WHAT YOU'RE LOOKING FOR?
Contact one of our reps and we will get you what you need.
800.826.8901

These files require Adobe Acrobat Reader software. You can download the free software by clicking on the Acrobat Reader link here: www.acrobat.com