Forms Checklist

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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.

 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

IRA Maintenance Forms

No.	Name	Current Version	Obsolete Version
IRA Contributions
106	Special Contributions	9/2024	Any prior obsolete
107	Traditional IRA Contribution and Investment Selection	11/2024	Any prior obsolete
107-IH	Inherited IRA Contribution and Investment Selection	11/2024	Any prior obsolete
109	Traditional IRA Contribution Eligibility	11/2024	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	11/2024	Any prior obsolete
1109	SIMPLE IRA Contribution Eligibility	11/2024	Any prior obsolete
6107	Roth Contribution and Investment Selection	2/2024	Any prior to 10/2014***
6109	Roth Contribution Eligibility	11/2024	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	11/2024	Any prior to 3/2022
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
314-IH	Inherited IRA Withdrawal Authorization	6/2024	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	4/2024	Any prior to 5/2023
80024	IRA State Income Tax Withholding Election	3/2025	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

HSA Maintenance Forms

SEP Plan

SIMPLE IRA Plan

Key
A	Any prior 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 1/2025 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.
	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