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403b7Individual 401k Corrective Measures Kit - Vanguard 2026

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The document provides a comprehensive guide for plan administrators on how to correct excess contributions made to 403(b)(7) or Individual 401(k) accounts. It outlines the types of excess contributions, their tax implications, and the necessary corrective actions to avoid penalties. The document includes a corrective measures form that must be completed by both the plan administrator and the participant, along with instructions for mailing and contacting Vanguard for assistance.

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Click ‘Get Form’ to open it in the editor.
Begin by reviewing the instructions provided in the kit. Identify which type of excess contribution applies to your situation, as this will guide your completion of the form.
In Section 1, the plan administrator should fill out the employer information, including plan name, ID number, and type of plan. Ensure all required fields are completed accurately.
Select the appropriate type of excess from options A through D and provide necessary details such as participant name and account number for accurate processing.
In Section 2, the participant must complete their information, specifying how to remove excess contributions from their Vanguard funds. Ensure that fund numbers and percentages total 100%.
Review both sections for completeness and accuracy. Sign where indicated to validate the form before submission.
Mail your completed form using the enclosed postage-paid envelope or send it to Vanguard's address if needed.

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Got questions?

We have answers to the most popular questions from our customers. If you can't find an answer to your question, please contact us.

Can I cancel my 401K and cash out while still employed at Vanguard?

You can withdraw money from some 401(k) plans while youre still working for the employer who sponsors it, but in most cases, you cant close an employer-sponsored 401(k) while youre still working there. You could elect to suspend payroll deductions, but would lose the pre-tax benefits and any employer matches.

What happened to Vanguard 401K?

Vanguard has transferred existing Individual 401(k), SIMPLE IRA, and SEP-IRA plans with multiple participants to Ascensus.

What company took over Vanguards 401K?

On April 16, 2024, Ascensus announced their acquisition of Vanguards Solo (Individual) 401(k), Multiple Participant SEP (Multi-SEP), and SIMPLE IRA Plans business.

Does Vanguard Solo 401K allow after tax contributions?

You do have the option to open a Roth Solo 401(k). If you do choose this, you contribute the funds after taxes. Just like the traditional Solo 401K, the money grows tax-free. However, the difference occurs when you withdraw the funds as your earnings grow tax-free.

How to find an old Vanguard 401k?

You can access your old Vanguard 401(k) account number through Vanguards website or mobile app. By rolling over your old Vanguard 401(k), you can consolidate accounts.

vanguard letter of instruction template

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Who took over Vanguard 401k?

Ascensus to Acquire Vanguard Individual 401(k), Multi-SEP, and SIMPLE IRA Plans. Ascensus announced today a definitive agreement to acquire Vanguards Individual 401(k), Multiple Participant SEP (Multi-SEP), and SIMPLE IRA Plans business.

Did Vanguard merge with another company?

VALLEY FORGE, PA (October 1, 2021)Vanguard today announced it has completed the acquisition of Just Invest, a provider of tax-managed, tailored wealth management technology.