Retirement Plan Forms and Documents
All ABA Retirement Funds Program (“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.
Plan Administrators who need assistance in completing forms can visit ePAG, the online Plan Administrator Guide, by going to Administrator Log-In, then clicking on “Visit ePAG.”
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, please call 800.752.6313 or email us at [email protected].
If you have a participant interested in the self-directed brokerage option, please refer to the Schwab Personal Choice Retirement Account Flyer for more information.
CHANGES AFFECTING INDIVIDUAL ACCOUNTS
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.
Beneficiary Designation Form
Complete this form to elect a primary and contingent beneficiary(ies) for your account.
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 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 the loan period (not to exceed five years from issue date) 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 that are made via check payable to ABA Retirement Funds Program.
Corrective Measures for Contributions
Plan Administrators should use this form to make corrective distributions, reallocations or refunds from participant accounts.
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.
This form must be completed by the Plan Administrator in order to establish a Sponsor Web ID or to update the banking information associated with an existing Sponsor Web ID.
This form and attached Charles Schwab IRA application must be completed by the Plan Administrator in order to terminate the plan and direct the ABA Retirement Funds Program to take certain actions on behalf of the Employer. Please note that the IRA application will only be used if there are any participants who do not take action to distribute their funds within the time frame allowed by the IRS.