Retirement Plan Forms Checklist

Who We Serve

Banks, Credit Unions, & Financial Institutions

Stay Compliant

Forms & Document Services

Forms

Print Forms & Documents

Forms Checklist

IRA, Coverdell ESA, HSA, and SEP and SIMPLE IRA Plan

IMPORTANT NOTE TO ASCENSUS FORMS USERS Updated forms and documents are delivered to you in periodic, electronic form or Ascensus software updates. If you need assistance with your forms, please contact [email protected].

View Forms & Document Services

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.

If you need assistance, contact a Customer Service Representative at 800-346-3860, option 2, suboption 1.

Lobby Brochure Checklist
Qualified Retirement Plan Documents & Forms Checklist

Account Establishment: Opening Documents

Traditional IRA
No.	Name	Current Version	Obsolete Version
97	Traditional IRA Simplifier Trust - 5305	11/2025	A, B
98	Traditional IRA Simplifier Custodial - 5305-A	11/2025	A
100	Traditional IRA Simplifier Self-Directed Custodial - 5305-A	11/2025	A
97-IH	Inherited Traditional IRA Simplifier Trust - 5305	11/2025	A, B
98-IH	Inherited Traditional IRA Simplifier Custodial - 5305-A	11/2025	A
100-IH	Inherited Traditional IRA Simplifier Self-Directed Custodial - 5305-A	11/2025	A

Roth IRA
6097	Roth IRA Simplifier Trust - 5305-R	11/2025	A, B***
6098	Roth IRA Simplifier Custodial - 5305-RA	11/2025	A***
6100	Roth IRA Simplifier Self-Directed Custodial - 5305-RA	11/2025	A***
6097-IH	Inherited Roth IRA Simplifier Trust - 5305-R	11/2025	A, B
6098-IH	Inherited Roth IRA Simplifier Custodial - 5305-RA	11/2025	A
6100-IH	Inherited Roth IRA Simplifier Self-Directed Custodial - 5305-RA	11/2025	A

SIMPLE IRA
1097	SIMPLE IRA Simplifier Trust - 5305-S	11/2025	A, B
1098	SIMPLE IRA Simplifier Custodial - 5305-SA	11/2025	A
1100	SIMPLE IRA Simplifier Self-Directed Custodial - 5305-SA	11/2025	A

Coverdell Education Savings Account (ESA)
5097	Coverdell ESA Simplifier Trust - 5305-E	11/2025	A, B
5098	Coverdell ESA Simplifier Custodial - 5305-EA	11/2025	A

Health Savings Account (HSA)
3499	HSA Simplifier Trust - 5305-B	11/2025	A
3500	HSA Simplifier Custodial - 5305-C	11/2025	A

IRA Maintenance Forms

IRA Contributions
No.	Name	Current Version	Obsolete Version
106	Special Contributions	7/2026	Any prior obsolete
107	Traditional IRA Contribution and Investment Selection	11/2025	Any prior to 11/2024
107-IH	Inherited IRA Contribution and Investment Selection	11/2025	Any prior to 11/2024
109	Traditional IRA Contribution Eligibility	11/2025	Any prior obsolete
110	Conduit IRA Notice and Election
135	IRA Certification for Late Rollover Contribution	5/2023	Any prior obsolete
489	IRA Automatic Rollover Agreement	3/2014
1107	SIMPLE IRA Contribution and Investment Selection	11/2025	Any prior to 11/2024
1109	SIMPLE IRA Contribution Eligibility	11/2025	Any prior obsolete
6107	Roth Contribution and Investment Selection	11/2025	Any prior to 10/2014***
6109	Roth Contribution Eligibility	11/2025	Any prior obsolete

IRA Portability
302	IRA Transfer Request	7/2025	Any prior obsolete
305	IRA Recharacterization Election	7/2025	Any prior to 10/2018
487	IRA Direct Rollover Request	7/2025	Any prior to 1/2002
6305	Roth IRA Direct Conversion Request	7/2025	Any prior to 3/2022

IRA Distributions and Withholding
22	IRA Charitable Distribution Request	11/2025	Any prior to 7/2025
123	IRA Excess Removal Worksheet	1/2020	Any prior obsolete
314	IRA Withdrawal Authorization	7/2025	Any prior to 5/2023
314-IH	Inherited IRA Withdrawal Authorization	7/2025	Any prior obsolete
317	IRA Withholding Notice and Election (with current election included)	4/2024	Any prior to 3/2022
319	IRA Substantially Equal Periodic Payment Election	4/2024	Any prior to 3/2022
321	IRA Beneficiary Required Election - for deaths prior to January 1, 2020	11/2024	Any prior obsolete
322	IRA Required Minimum Distribution Scheduled Payment Election	11/2024	Any prior to 5/2023
323	IRA Required Minimum Distribution Notice	1/2023	Any prior obsolete
324	IRA Scheduled Payment Election	4/2024	Any prior to 3/2022
324-IH	Inherited IRA Payment Election - for deaths prior to January 1, 2020	11/2024	Any prior to 5/2023
341	IRA Beneficiary Required Election - for deaths on or after January 1, 2020	11/2024	Any prior obsolete
344-IH	Inherited IRA Payment Election - for deaths on or after January 1, 2020	11/2024	Any prior to 5/2023
6123	Roth IRA Excess Removal Worksheet	10/2015	Any prior to 1/2004
6314	Roth IRA Withdrawal Authorization	7/2025	Any prior to 5/2023
80024	IRA State Income Tax Withholding Election	6/2026	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	3/2026
2310	Investment Change	3/2014

Coverdell ESA Maintenance Forms

ESA Contributions
No.	Name	Current Version	Obsolete Version
106	Special Contributions	9/2024	Any prior obsolete
5107	Coverdell ESA Contribution and Investment Selection	11/2025	Any prior to 10/2024
5109	Coverdell ESA Contribution Eligibility	10/2015

ESA Portability
5302	Coverdell ESA Transfer Request	7/2025	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	3/2026

HSA Maintenance Forms

HSA Contributions
No.	Name	Current Version	Obsolete Version
3107	HSA Contribution and Investment Selection	11/2025	Any prior to 10/2004
3109	HSA Contribution Eligibility	11/2025	Any prior obsolete
3315	HSA Mistaken Distribution Payment	3/2014
3322	Qualified HSA Funding Distribution Request	7/2025	Any prior to 10/2004

HSA Portability
3302	HSA Transfer Request	7/2025	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	3/2026

SEP Plan

Prototype 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
400	Standard SEP Plan Establishment Booklet - 418 Standard SEP Adoption Agreement - 419 Standard SEP Plan Document	11/2025 9/2002 9/2002	Any prior obsolete* Any prior obsolete Any prior obsolete
408-SU	Additional SECURE 2.0 Plan Provisions Employer Election Form – Universal SEP	11/2025	Any prior obsolete
410	Universal SEP Plan Establishment Booklet - 408 Universal SEP Adoption Agreement - 409 Universal SEP Plan Document	11/2025 9/2002 9/2002	Any prior obsolete Any prior obsolete Any prior obsolete
411	Universal SEP Employee Information Booklet	11/2024	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	11/2024
421	Standard SEP Employee Information Booklet	11/2025	Any prior obsolete
422	Standard SEP Summary for Employees	6/2024	Any prior obsolete*****

Government SEP Plan
416	5305-SEP Plan Establishment Booklet	11/2025	Any prior obsolete
418-SU	Additional SECURE 2.0 Plan Provisions Employer Election Form - Standard SEP and IRS model-based SEP	11/2024

SIMPLE IRA Plan

Prototype 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	11/2025	Any prior obsolete
663	Mid-year SIMPLE IRA Plan Termination Notice	5/2024
676	Pre-tax/Roth SIMPLE IRA Matching or Nonelective Contribution Election Form	6/2025	Any prior obsolete
600	SIMPLE IRA Plan Establishment Booklet - 618 SIMPLE IRA Adoption Agreement - 619 SIMPLE IRA Plan Document	11/2025 9/2002 9/2002	Any prior obsolete* Any prior obsolete Any prior obsolete
616	SIMPLE IRA Salary Reduction Agreement	11/2025	Any prior obsolete**
617	SIMPLE IRA Participation Notice & Summary Description	11/2025	Any prior obsolete**

Government SIMPLE IRA Plan
516	5305-SIMPLE Establishment Booklet - For use with a DFI	11/2025	Any prior obsolete
516-S	SIMPLE IRA Salary Reduction Agreement – For use with a DFI	11/2025	Any prior obsolete****
516-P	SIMPLE IRA Participation Notice & Summary Description – For use with a DFI	11/2025	Any prior obsolete**
517	5304-SIMPLE Establishment Booklet - Not subject to DFI rules	11/2025	Any prior obsolete
517-S	SIMPLE IRA Salary Reduction Agreement – For use with a nonDFI	11/2025	Any prior obsolete****
517-P	SIMPLE IRA Participation Notice & Summary Description – For use with a nonDFI	11/2025	Any prior obsolete**

Key
A	Any prior to 11/2024 obsolete unless accompanied by the appropriate disclosure statement amendment; strongly recommend the current version
B	Include use for managed and self-directed trust accounts.
	Prior versions that are not obsolete are compliant only if includes attached 1/2026 version Withholding Instructions (IRS Form W-4R).
	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.
	Current and obsolete version applies also to Form 317-SU State Income Tax Withholding Guide for IRA Distributions
	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 7/2025 do not include for use with Roth IRAs. As of 7/2025, Form 302 is used with Traditional, Roth, and SIMPLE IRAs; effectively, Form 6302 Roth IRA Transfer Request has been discontinued.
	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