This section contains information about Program forms, tools and resources available to simplify your job as Plan Administrator.

The Program is committed to providing you with as many tools as possible to administer the plan in an effective and timely manner. This section contains information on how to obtain and complete Program forms, including the application for the Self-Directed Brokerage Account (SDBA).

Completing and Processing Forms

When you complete or receive forms from participants, be sure to follow these steps:

  1. Review the request/form and decide if it is applicable under your plan.
  2. Forms are periodically revised. It’s best if you always obtain administrative forms from the Program’s website (see Resources) on an as-needed basis as opposed to maintaining hard copies at your firm.
  3. Check that the participant has completed all the appropriate sections correctly, as well as signed and dated the form.
  4. Some plans may require the signature of the participant’s spouse on a loan or distribution form. For these forms, make sure the participant’s spouse has signed the form with a witness present — an authorized plan representative or notary public. The witness’s signature must have the same date as the spouse’s signature. If the witness is a notary, the form must contain a notary seal. Note:  A Plan Administrator who is also a participant cannot serve as the witness for his or her spouse’s signature.
  5. Complete the form by signing and dating it where applicable.
  6. Submit the completed, signed and dated form to the Program using one of the methods provided under “Mail & Email“.

The Program will process forms received in good order and, if applicable, send the participant a check, a notice regarding taxes for a distribution and a confirmation notice.

Any transactions processed by the close of business on the last business day of the quarter will be reflected on the participant’s quarterly statement. Quarterly statements are mailed within 10 business days after the end of each quarter.

How to Obtain a Form

All Program forms can be accessed in the following ways:

  • Download and print forms through the Resources section of the Program’s website (see Forms).
  • Call 800.752.6313 to have a form mailed to you.
  • Participants can call the Customer Service Center at 800.348.2272 and press 4 or speak with a Customer Service Associate by pressing 0.