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Ascensus' forms and documents are constantly monitored to accommodate changes brought about by new tax laws and regulatory changes – and, equally important, to respond to your requests and needs. This Forms Checklist provides you with the date of the most current version of the designated form or document. Versions which are technically inaccurate because of subsequent law changes or IRS pronouncements are listed in the column entitled "Obsolete Version." If no date appears in the obsolete column, all existing versions may be used. This checklist will be updated periodically.
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Lobby Brochure Checklist
Qualified Retirement Plan Forms Checklist
Account Establishment: Opening Documents
No. | Name | Current Version | Obsolete Version |
Traditional IRA | |||
---|---|---|---|
97 | Traditional IRA Simplifier Trust - 5305 | 5/2023 | A, B |
98 | Traditional IRA Simplifier Custodial - 5305-A | 5/2023 | A |
100 | Traditional IRA Simplifier Self-Directed Custodial - 5305-A | 5/2023 | A |
97-IH | Inherited Traditional IRA Simplifier Trust - 5305 | 5/2023 | Any prior to 1/2009 B, C |
98-IH | Inherited Traditional IRA Simplifier Custodial - 5305-A | 5/2023 | Any prior to 1/2009 C |
100-IH | Inherited Traditional IRA Simplifier Self-Directed Custodial - 5305-A | 5/2023 | Any prior to 1/2009 C |
Roth IRA | |||
6097 | Roth IRA Simplifier Trust - 5305-R | 2/2024 | A, B*** |
6098 | Roth IRA Simplifier Custodial - 5305-RA | 2/2024 | A*** |
6100 | Roth IRA Simplifier Self-Directed Custodial - 5305-RA | 2/2024 | A*** |
6097-IH | Inherited Roth IRA Simplifier Trust - 5305-R | 5/2023 | Any prior to 1/2009 B, C |
6098-IH | Inherited Roth IRA Simplifier Custodial - 5305-RA | 5/2023 | Any prior to 1/2009 C |
6100-IH | Inherited Roth IRA Simplifier Self-Directed Custodial - 5305-RA | 5/2023 | Any prior to 1/2009 C |
SIMPLE IRA | |||
1097 | SIMPLE IRA Simplifier Trust - 5305-S | 5/2023 | A, B |
1098 | SIMPLE IRA Simplifier Custodial - 5305-SA | 5/2023 | A |
1100 | SIMPLE IRA Simplifier Self-Directed Custodial - 5305-SA | 5/2023 | A |
Coverdell Education Savings Account (ESA) | |||
5097 | Coverdell ESA Simplifier Trust - 5305-E | 10/2018 | B, D |
5098 | Coverdell ESA Simplifier Custodial - 5305-EA | 10/2018 | D |
Health Savings Account (HSA) | |||
3499 | HSA Simplifier Trust - 5305-B | 10/2018 | E |
3500 | HSA Simplifier Custodial - 5305-C | 10/2018 | E |
IRA Maintenance Forms
No. | Name | Current Version | Obsolete Version |
IRA Contributions | |||
---|---|---|---|
106 | Special Contributions | 11/2023 | Any prior obsolete |
107 | Traditional IRA Contribution and Investment Selection | 5/2023 | Any prior obsolete |
107-IH | Inherited IRA Contribution and Investment Selection | 6/2024 | |
109 | Traditional IRA Contribution Eligibility | 11/2023 | Any prior obsolete |
110 | Conduit IRA Notice and Election | ||
135 | IRA Certification for Late Rollover Contribution | 10/2020 | Any prior obsolete |
489 | IRA Automatic Rollover Agreement | 3/2014 | |
1107 | SIMPLE IRA Contribution and Investment Selection | 11/2023 | Any prior obsolete |
1109 | SIMPLE IRA Contribution Eligibility | 11/2023 | Any prior obsolete |
6107 | Roth Contribution and Investment Selection | 2/2024 | Any prior to 10/2014*** |
6109 | Roth Contribution Eligibility | 2/2024 | Any prior to 11/2022*** |
IRA Portability | |||
302 | Traditional and SIMPLE IRA Transfer Request | 1/2020 | Any prior obsolete |
305 | IRA Recharacterization Election | 10/2020 | Any prior to 10/2018 |
487 | IRA Direct Rollover Request | 3/2016 | Any prior to 1/2002 |
6302 | Roth IRA Transfer Request | 10/2017 | Any prior to 5/2002 |
6305 | Roth IRA Direct Conversion Request | 4/2024 | Any prior to 3/2022. 3/2022 version compliant only if includes attached 1/2024 version Withholding Instructions (IRS Form W-4R) |
IRA Distributions and Withholding | |||
22 | IRA Charitable Distribution Request | 5/2023 | Any prior obsolete |
123 | IRA Excess Removal Worksheet | 1/2020 | Any prior obsolete |
314 | IRA Withdrawal Authorization | 4/2024 | Any prior to 5/2023. 5/2023 version compliant only if includes attached 1/2024 version Withholding Instructions (IRS Form W-4R) |
314-IH | Inherited IRA Withdrawal Authorization | 6/2024 | |
317 | IRA Withholding Notice and Election (with current election included) | 4/2024 | Any prior to 3/2022. 3/2022 version compliant only if includes attached 1/2024 version Withholding Instructions (IRS Form W-4R) |
319 | IRA Substantially Equal Periodic Payment Election | 4/2024 | Any prior to 3/2022. 3/2022 version compliant only if includes attached 1/2024 version Withholding Instructions (IRS Form W-4R) |
321 | IRA Beneficiary Required Election - for deaths prior to January 1, 2020 | 5/2023 | Any prior obsolete |
322 | IRA Required Minimum Distribution Scheduled Payment Election | 4/2024 | Any prior to 5/2023. 5/2023 version compliant only if includes attached 1/2024 version Withholding Instructions (IRS Form W-4R) |
323 | IRA Required Minimum Distribution Notice | 1/2023 | Any prior obsolete |
324 | IRA Scheduled Payment Election | 4/2024 | Any prior to 3/2022. 3/2022 version compliant only if includes attached 1/2024 version Withholding Instructions (IRS Form W-4R) |
324-IH | Inherited IRA Payment Election - for deaths prior to January 1, 2020 | 4/2024 | Any prior to 5/2023. 5/2023 version compliant only if includes attached 1/2024 version Withholding Instructions (IRS Form W-4R) |
341 | IRA Beneficiary Required Election - for deaths on or after January 1, 2020 | 5/2023 | Any prior obsolete |
344-IH | Inherited IRA Payment Election - for deaths on or after January 1, 2020 | 4/2024 | Any prior to 5/2023. 5/2023 version compliant only if includes attached 1/2024 version Withholding Instructions (IRS Form W-4R) |
6123 | Roth IRA Excess Removal Worksheet | 10/2015 | Any prior to 1/2004 |
6314 | Roth IRA Withdrawal Authorization | 4/2024 | Any prior to 5/2023. 5/2023 version compliant only if includes attached 1/2024 version Withholding Instructions (IRS Form W-4R) |
80024 | IRA State Income Tax Withholding Election | 8/2024 | Any prior obsolete |
IRA Beneficiary Designations | |||
121 | IRA Beneficiary Reminder Notice | 3/2014 | |
301 | IRA Beneficiary Designation | 4/2015 | |
301-SU | IRA Beneficiary Designation Addendum | 4/2015 | |
307 | Inherited IRA Beneficiary Designation | 4/2015 | |
IRA Changes | |||
311 | IRA Change of Account Information | 3/2014 | |
2310 | Investment Change | 3/2014 |
Coverdell ESA Maintenance Forms
No. | Name | Current Version | Obsolete Version |
ESA Contributions | |||
---|---|---|---|
106 | Special Contributions | 5/2023 | Any prior obsolete |
5107 | Coverdell ESA Contribution and Investment Selection | 10/2014 | Any prior obsolete |
5109 | Coverdell ESA Contribution Eligibility | 10/2015 | |
ESA Portability | |||
5302 | Coverdell ESA Transfer Request | 7/2013 | Any prior to 7/2001 |
ESA Distributions | |||
5123 | Coverdell ESA Excess Removal Worksheet | 10/2015 | |
5314 | Coverdell ESA Withdrawal Authorization | 3/2019 | Any prior to 10/2018 |
ESA Death Beneficiary Designations | |||
5301 | Coverdell ESA Death Beneficiary Designation | 4/2015 | Any prior to 1/2002 |
5301-SU | Coverdell ESA Death Beneficiary Designation Addendum | 4/2015 | |
ESA Changes | |||
5311 | Coverdell ESA Change of Account Information | 3/2014 |
HSA Maintenance Forms
No. | Name | Current Version | Obsolete Version |
HSA Contributions | |||
---|---|---|---|
3107 | HSA Contribution and Investment Selection | 10/2015 | Any prior to 10/2004 |
3109 | HSA Contribution Eligibility | 11/2023 | Any prior obsolete |
3315 | HSA Mistaken Distribution Payment | 3/2014 | |
3322 | Qualified HSA Funding Distribution Request | 7/2013 | Any prior to 10/2004 |
HSA Portability | |||
3302 | HSA Transfer Request | 7/2013 | Any prior to 10/2004 |
HSA Withdrawals | |||
3123 | HSA Excess Removal Worksheet | 10/2015 | |
3314 | HSA Withdrawal Authorization | 4/2015 | Any prior to 10/2004 |
HSA Beneficiary Designations | |||
3121 | HSA Beneficiary Reminder Notice | 3/2014 | |
3301 | HSA Beneficiary Designation | 4/2015 | Any prior to 10/2004 |
3301-SU | HSA Beneficiary Designation Addendum | 4/2015 | |
HSA Changes | |||
2310 | Investment Change | 3/2014 | |
3311 | HSA Information Change | 3/2014 |
SEP Plan
No. | Name | Current Version | Obsolete Version |
For use with all Ascensus SEP Plans | |||
407 | SEP Contribution Statement | 1/2016 | Any prior to 9/2002 |
436 | Pre-tax/Roth SEP Employer Contribution Election Form | 6/2024 | |
Prototype SEP Plan | |||
---|---|---|---|
400 | Standard SEP Plan Establishment Booklet | 6/2024 | Any prior obsolete* |
408-SU | Additional SECURE 2.0 Plan Provisions Employer Election Form – Universal SEP | 6/2024 | |
410 | Universal SEP Plan Establishment Booklet | 6/2024 | Any prior obsolete* |
411 | Universal SEP Employee Information Booklet | 7/2024 | Any prior obsolete |
412 | Universal SEP Salary Reduction Agreement | 6/2024 | Any prior obsolete***** |
413 | Universal SEP Summary for Employees | 6/2024 | Any prior obsolete***** |
418-SU | Additional SECURE 2.0 Plan Provisions Employer Election Form - Standard SEP and IRS model-based SEP | 6/2024 | |
421 | Standard SEP Employee Information Booklet | 7/2024 | Any prior obsolete |
422 | Standard SEP Summary for Employees | 6/2024 | Any prior obsolete***** |
Government SEP Plan | |||
416 | 5305-SEP Plan Establishment Booklet | 7/2024 | Any prior obsolete |
418-SU | Additional SECURE 2.0 Plan Provisions Employer Election Form - Standard SEP and IRS model-based SEP | 6/2024 |
SIMPLE IRA Plan
No. | Name | Current Version | Obsolete Version |
For use with all Ascensus SIMPLE IRA Plans | |||
618-SU | Additional SECURE and SECURE 2.0 Plan Provisions Employer Election Form | 5/2024 | |
663 | Mid-year SIMPLE IRA Plan Termination Notice | 5/2024 | |
676 | Pre-tax/Roth SIMPLE IRA Matching or Nonelective Contribution Election Form | 5/2024 | |
Prototype SIMPLE IRA Plan | |||
---|---|---|---|
600 | SIMPLE IRA Plan Establishment Booklet | 5/2024 | Any prior obsolete* |
616 | SIMPLE IRA Salary Reduction Agreement | 5/2024 | Any prior obsolete** |
617 | SIMPLE IRA Participation Notice & Summary Description | 5/2024 | Any prior obsolete** |
Government SIMPLE IRA Plan | |||
516 | 5305-SIMPLE Establishment Booklet - For use with a DFI | 5/2024 | Any prior obsolete |
516-S | SIMPLE IRA Salary Reduction Agreement – For use with a DFI | 5/2024 | Any prior obsolete**** |
516-P | SIMPLE IRA Participation Notice & Summary Description – For use with a DFI | 5/2024 | Any prior obsolete** |
517 | 5304-SIMPLE Establishment Booklet - Not subject to DFI rules | 5/2024 | Any prior obsolete |
517-S | SIMPLE IRA Salary Reduction Agreement – For use with a nonDFI | 5/2024 | Any prior obsolete**** |
517-P | SIMPLE IRA Participation Notice & Summary Description – For use with a nonDFI | 5/2024 | Any prior obsolete** |
Key | |
A | Any prior to 10/2006 obsolete; versions dated 5/2002 through 4/2020 are obsolete unless accompanied by the appropriate disclosure statement amendment; strongly recommend the current version |
B | Include use for managed and self-directed trust accounts. |
C | Versions dated 1/2009 through 10/2020 require a disclosure statement amendment; strongly recommend the current version. |
D | Any prior to 10/2014 are obsolete unless accompanied by the appropriate disclosure statement amendment; strongly recommend the current version. |
E | Any prior to 5/2012 are obsolete unless accompanied by the appropriate disclosure statement amendment; strongly recommend the current version. |
Versions prior to 4/2008 should be used with caution regarding automatic rollovers to inherited IRAs. | |
Versions prior to 4/2006 should not be used for Roth IRAs. | |
Versions prior to 1/2007 should not be used to request or to certify a rollover of inherited retirement plan assets into an inherited IRA. | |
Versions prior to 4/2008 should be used with caution regarding rollovers of designated Roth contributions. | |
* | Prior to the 11/2022 update, prototype SEP and SIMPLE IRA plan forms and documents were maintained separately. Now, all the forms that collectively made up the former plan establishment “kits” are maintained within single item booklets. While each form within the booklets retains its individual item number and revision date, an update to any form whereby the prior revision is deemed obsolete deems the entire booklet obsolete. |
** | This form, also found in Form 516, 517, or 600 SIMPLE IRA Plan Establishment Booklet, as applicable allows you to efficiently provide the most current form to your adopting employers so that they can distribute their required annual notice to participating employees using current forms. |
*** | Versions prior to 2/2024 (that are not obsolete) do not include an option on the form to select a 529 plan (qualified tuition plan) to Roth IRA rollover as a Roth IRA contribution type; recommend the current version. |
**** | This form, also found in Form 516, 517, or 600 SIMPLE IRA Plan Establishment Booklet, as applicable allows you to efficiently provide the most current form to your adopting employers so that they can distribute to participating employees using current forms. |
***** | This form, also found in Form 400 Standard SEP Plan Establishment Booklet or 410 Universal SEP Plan Establishment Booklet, as applicable allows you to efficiently provide the most current form to your adopting employers so that they can distribute to participating employees using current forms. |
Lobby Brochure Checklist
Qualified Retirement Plan Forms Checklist