Forms & Literature

Coverdell ESA Distribution Request for Excess Contributions

Request a withdrawal of Coverdell contributions that exceed the annual limit. To avoid an excise tax imposed by the IRS, remove an... Details

Coverdell ESA F-2 Share Class Supplement

Use this form only if your firm has approved offering non-institutional Class F-2 shares. Supplement to the F-2 Share Account Application that includes the information to open a Coverdell ESA account. It should be submit... Details

Coverdell ESA Request for Transfer of Assets

Use this form to request a transfer of assets into a Capital Bank & Trust Coverdell Education Savings account. Details

Distribution Request for Excess Contributions From Money Purchase Plans/Profit-Sharing Plans (MPPs/PSPs)

Form used to request that excess MPP/PSP contributions be removed from an account. Details

Distribution Request for Excess Contributions From SEP/SARSEP IRAs

Remove SEP/SARSEP IRA contributions that exceed your annual limit. We suggest consulting a tax advisor about deadline requirements... Details

Distribution Request for Excess Contributions From SIMPLE IRAs

Remove SIMPLE IRA contributions that exceed the annual limit. We suggest consulting a tax advisor about deadline requirements to a... Details

Distribution Request for Excess Contributions From Traditional and Roth IRAs

Remove IRA contributions that exceed your annual limit. We suggest consulting a tax advisor about deadline requirements to avoid ... Details

Employer-Sponsored CollegeAmerica Account Application (Digital)

Form used by individuals to establish an employer-sponsored 529 CollegeAmerica savings account.

For the hard copy version, see the Employer-Sponsored CollegeAmerica Account Application (Hard Copy)... Details

Employer-Sponsored CollegeAmerica Account Application (Hard Copy)

Form used by individuals to establish an employer-sponsored 529 CollegeAmerica savings account.

For the digital version, see the Employer-Sponsored CollegeAmerica Account Application (Digital)... Details

Entity Beneficial Owners

Investors opening an account for a legal entity—such as corporation, organization, partnership, limited liability company or nonprofit—should use this form to provide beneficial owner and control person information. This... Details

ETF Due Diligence Checklist — ETF Equities

This single sheet provides key questions/considerations when conducting ETF due diligence. Details

F-2 Share Account Application for Financial Professionals

Use this form only if your firm has approved offering non-institutional Class F-2 shares. F-2 share application with links to rela... Details

F-2 Share Conversion and Financial Professional/Fee Authorization

Use this form only if your firm has approved offering non-institutional Class F-2 shares. Use this form to convert to Class F-2 sh... Details

Fee-Based Financial Professional Change Request

RecordkeeperDirect plan sponsors can use this form to update financial professional information on file for their plan. This form ... Details

Financial Professional Change Request

Form used to update the financial professional listed on an investor’s account(s). Details

Fund Information

A quick guide to fund names, numbers, minimums and share class restrictions. Details

Fund information matrix (A, C, F-1, F-2, F-3 Share)

Lists information alphabetically about each fund and share class, such as the fund number, Quotron symbol, tax identification numb... Details

Fund information matrix (R-1, R-2, R-2E, R-3, R-4, R-5, R-5E, R-6 Share)

Lists information alphabetically about each fund and share class, such as the fund number, Quotron symbol, tax identification numb... Details

Gift of Shares Request

Form used by existing investors to initiate a gift transfer. Details

Gift Transfer of Shares to a Charitable Organization

Donate shares to a nonprofit organization. Details