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We are pleased to provide certain First Investors Funds applications and forms. Please call our Broker/Dealer Services Department at (800) 524-2803 if you have questions about applications and forms or if you would like to order sales kits.

Non-Retirement Forms

The Certificate of Authority form is used to identify the authorized individuals who are allowed to act on behalf of Corporations, Partnerships, Trusts, Sole Proprietorships or other Institutional Accounts.

Use this form to elect or change the cost basis calculation method on your Covered Shares. A Covered Share is generally a fund share purchased on or after January 1, 2012 for a non-retirement account other than a money market or Education Savings Account.

The Education Savings Account (ESA) Distribution Request form is used to request a distribution from a First Investors Fund ESA account.

The Joint Account Supplement form is used when opening a jointly registered account with more than two owners or if the second owner's residential address is different from the first owner.

This Transfer Form is used for transfers to an Individual, Joint, Uniform Transfer to Minors Act (UTMA), or Trust account. It is not to be used for Foresters Financial Services, Inc. Retirement Accounts.

The Mutual Fund Privilege Application is used to request additional privileges after a First Investors Fund account has been established.

The Transfer on Death (TOD) Registration Request Form is used to add or change TOD instructions on a First Investors fund account.

The Certification of Entitlement to Transfer on Death Account form is used by a beneficiary to certify that the account owner is deceased and to instruct the transfer or liquidation of a First Investors Fund account.

Retirement Forms

This form is used along with a completed Traditional 403(b) Distribution Request Form to rollover funds from a Foresters Financial Services, Inc. 403(b) to a Roth IRA.

The First Investors Funds Education Savings Account (ESA) Application Booklet contains the agreement, application and additional forms needed to establish an Education Savings Account invested in First Investors Funds.

The First Investors Funds Individual Retirement Account Application Booklet contains the agreement, application, and additional forms needed to establish a Traditional IRA, Conduit IRA, Roth IRA, Inherited Traditional IRA, and Inherited Roth IRA invested in First Investors Funds.

The First Investors Funds SIMPLE IRA/SEP-IRA/SARSEP-IRA Application Booklet contains the agreement, application and additional forms needed to establish a SIMPLE IRA, SEP-IRA, or SARSEP-IRA Account invested in First Investors Funds.

The IRA/403(b) Beneficiary Designation Form is used to change or revoke the beneficiaries listed on a Foresters Financial Services, Inc. IRA (Roth, Traditional, SIMPLE, SEP or SARSEP) or 403(b).

The Designation of Beneficiary for Inherited IRAs form is used to name or change beneficiaries on Inherited IRA accounts.

The IRA Distribution Request form is used to request funds from a Foresters Financial Services, Inc. Traditional IRA, SEP-IRA, SARSEP-IRA, or SIMPLE IRA account.

The Roth 403(b) Distribution Request Form is used to request a distribution from a Foresters Financial Services, Inc. Roth 403(b) account.

The Required Minimum Distribution Form for IRAs is used to request a required distribution from a Foresters Financial Services, Inc. Traditional IRA, SEP-IRA, SARSEP-IRA, or SIMPLE IRA account.

The IRA to Roth IRA Conversion Form is used to transfer assets from a Foresters Financial Services, Inc. Traditional IRA, SEP-IRA, SARSEP, or SIMPLE-IRA Fund account to a Foresters Financial Services, Inc. Roth IRA account.

The Roth IRA Distribution Request form is used to request a distribution from a Foresters Financial Services, Inc. Roth IRA account.

The Traditional 403(b) Distribution Request form is used to request a distribution from a Foresters Financial Services, Inc. Traditional 403(b) account.

Use this form to redeem assets held at an outside company and invest in First Investors Funds.

The IRS Form W-4P is used to instruct tax withholding.

Universal Forms

The Affidavit of Domicile form is used to confirm the state of residence for a deceased person.

The Acceptance of Class B Share Purchase Orders form is required when purchasing more than $100,000 or more in a First Investors Fund Class B shares.

The First Investors Funds Application is used to establish new First Investors Fund Accounts.

This First Investors Funds Application is used to establish new First Investors Fund Accounts investing in Institutional Class Shares ONLY.

The Electronic Funds Transfer Service Application is used to request or change an electronic investment via Automated Clearing House (“ACH”) into a First Investors Fund account.

For use by a customer who wishes to link a bank account that is not registered identically for Electronic Funds Transfer privileges where either the customer or the bank account is registered as a sole proprietorship.

The Agent's Certification Form is used to establish an agent's authority when acting as Executor, Administrator, Guardian or Conservator. This form allows any one authorized agent to act alone.

The Mutual Fund Account Instructions is used to request additional features or add a new mutual fund account for an established customer.

Use to redeem Government Cash Management Fund shares and invest proceeds in a mutual fund or FLIAC variable life insurance or annuity product.

Use this form to correct any name discrepancy for an existing account, new account or when an account being transferred from another financial institution is held in a former/incorrect name. A name discrepancy may include a spelling error, use of an initial in place of a full name, use of a "nickname" or a new name due to a legal name change.

The Net Asset Value (NAV) Authorization Form for use by Third Party Broker-Dealers is used to authorize purchases at NAV into a First Investors fund account owned by a registered representative or employee of a broker dealer that has an active selling agreement in effect with the First Investors Funds.

This form gives the guidelines for submission of documents to Foresters Financial Services, Inc. that require a Medallion Signature Guarantee. It includes a Stock Power Form for use in completing certain transactions.

The Form W-9 is used to certify a taxpayer tax identification number.



Important Notices to Broker/Dealers

We are pleased to provide the First Investors Funds Important Notices to Broker/Dealers that we previously mailed to broker/dealers. Please call our Broker/Dealer Services Department at (800) 524-2803 if you have questions regarding a notice.

Notice
Title 2017 Low Balance Mailing
Date September 08, 2017
Notice
Title DST FANMail Now Available
Date August 04, 2017
Notice
Title Taxable Bond Fund Sales Charge Structure Changes
Date June 09, 2017
Notice
Title Tax Exempt Funds Sales Charge Structure Changes
Date January 31, 2017
Notice
Title First Investors Long Short Fund
Date December 01, 2016
Notice
Title First Investors Cash Management Fund
Date October 03, 2016
Notice
Title 2016 Low Balance Mailing
Date September 14, 2016
Notice
Title First Investors Hedged U.S. Equity Opportunities Fund
Date August 01, 2016
Notice
Title First Investors Covered Call Strategy Fund
Date April 01, 2016
Notice
Title First Investors Funds on DST Vision
Date February 24, 2016
Notice
Title New Quarterly Statement Design
Date October 09, 2015
Notice
Title Notice of Name Change to Foresters Financial
Date September 08, 2015
Notice
Title Change in Dividend and Capital Gain Policy
Date March 27, 2015
Notice
Title First Investors Funds Distribution Rates on MFPS
Date April 15, 2014

We are pleased to provide the First Investors Funds Trading Policies and Procedures. Please call our Broker/Dealer Services Department at 800-524-2803 if you have questions regarding our trading policies and procedures.

Foresters Financial Services, Inc.
Raritan Plaza I
PO Box 7838
Edison NJ 08818-7838

 

Service Fee Rates

Service (12b-1) fee rates are available here.

Trading Policies and Procedures

In the event of a system failure with the NSCC or the Broker/Dealer, we will continue to accept and settle orders outside Fund/SERV. Any such orders must be placed through our Shareorder Department, (800) 524-2163, prior to 4:00 p.m. EST. Please do not send late transmissions via Fund/SERV as we do not confirm them. Foresters Financial will confirm orders placed “as of” a previous date through Fund/SERV (no more than 6 months from the trade date).

Losses incurred from rejected trades will not be charged back to the Broker/Dealer, as long as the Broker/Dealer, contacts Foresters Financial by 9:15 a.m. EST on the morning of the trade rejection. Only then will shares be reserved in the name of the Broker/Dealer. Rejected trades must be reentered on that day. Failure to send a second trade for reserved shares will result in the Broker/Dealer being charged for any losses incurred.

Foresters Financial requires accurate account numbers for all additional purchases and all redemptions of uncertificated shares. Every account number is 13 characters long. Please be mindful to use a zero, when appropriate, and not the letter “O” when entering an account number. We will reject liquidations placed with unrecognizable account numbers.

Exchanges can be done between the same share class of any NSCC eligible First Investors funds. The First Investors Funds reserve the right to reject any exchange order, which, in the opinion of the Fund, is part of a market timing strategy.

Liquidations of First Investors funds will be processed according to the guidelines and settlement releases outlined by the NSCC. However, as a general policy we do not process liquidations of uncertificated shares registered in the client's name unless the Foresters Financial Fund/SERV Agreement is signed by an officer of the Broker/Dealer and returned to Foresters Financial.

If the Broker/Dealer clears for an introducing firm, a current list of those introducing firms must be sent to us before we will accept orders through Fund/SERV. In addition, Foresters Financial must be notified of any updates to the list. Orders will only be confirmed if the introducing firm has a dealer agreement on file with Foresters Financial.

On Fund/SERV redemptions, when a dividend has been paid to the shareholder of record and the client is not entitled to the dividend, the Broker/Dealer will be charged a cash adjustment for that amount through Fund/SERV.

All of the policies and guidelines stated in this document must be followed when processing orders through Fund/SERV.