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A | B | C | D | E | F | G | Government Forms | H | I | IRA Disclosures and Agreements | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | XYZ To view PDF forms, download the free version of Adobe® Acrobat Reader®    A Account Application – Standard Account Application – Foreign Account Application – Beneficiary IRA Account Application – IRA Account Application – Coverdell Education Savings Account (ESA) Account Modification Account Upgrade (Margin/Options) Account Transfer Account Transfer – Internal ACH Addendum to Account Application Affidavit of Domicile Affidavit of Custodianship Agent Authorization Limited to Account Inquiry  Top   C Certificate of Sole Officer Change of Address Client Agreement Continuance of Power of Attorney Affidavit Corporate Resolution Coverdell Education Savings Account (ESA) Deposit Slip Coverdell Education Savings Account (ESA) Internal Transfer Form Coverdell Education Savings Account (ESA) Distribution Request Form Coverdell Education Savings Account (ESA) Change of Designated Death Beneficiary Form Custodian's Certificate and Request for ACH on UGMA or UTMA Account Custodian's Designation of Successor Custodian to UTMA/UGMA Account Custodianship Resignation and Appointment  Top   D Deposit Slip Deposit Slip – IRA DTC Transfer Request DVP/RVP Instructions — see National Institutional Delivery System (NIDS)  Top   E Employee Stock Option Exercise Form Employee Stock Option Agreement  Top   F Fund Disbursement Verification Form Foreign Entity Account forms — see Government Forms Full Trading Authorization — see Trading Authorization - Full  Top   Government Forms Foreign Entity Account Forms: Foreign Entity Account Addendum This form is required for all Foreign Entity Accounts. Certification Regarding Correspondent Accounts This form is required for Foreign Entity Accounts if they indicate they are acting in the capacity of a Foreign Bank on the Foreign Entity Declaration Regarding Correspondent Accounts form. This form details country of operation and owners of the Foreign Bank. Foreign Entity Declaration Regarding Correspondent Accounts This form is required for Foreign Entity Accounts to certify if they are or are not acting in the capacity of a Foreign Bank. Re-Certification Regarding Correspondent Accounts This form is required to re-certify information provided by the client on a submitted Certification Regarding Correspondent Accounts form when it expires.   IRS Forms: IRS Form W-8BEN Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding. For additional information, read the instructions for completing Form W-8BEN. Attachment A to Form W-8BEN This form is used when a United States mailing address is provided on a Foreign account. IRS Form W-8ECI Certificate of Foreign Person's Claim for Exemption From Withholding on Income Effectively Connected With the Conduct of a Trade or Business in the United States. For additional information, read the instructions for completing Form W-8ECI. IRS Form W-8EXP Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding. For additional information, read the instructions for completing Form W-8EXP. IRS Form W-8IMY Certificate of Foreign Intermediary, Foreign Partnership, or Certain U.S. Branches for United States Tax Withholding. For additional information, read the instructions for completing Form W-8IMY. IRS Form W-9 Request for Taxpayer Identification Number and Certification. For additional information, read the instructions for completing Form W-9. IRS Form 5304-SIMPLE Savings Incentive Match Plan for Employees of Small Employers (SIMPLE) (not subject to the Designated Financial Institution Rules). IRS Form 5305-SA SIMPLE Individual Retirement Custodial Account. IRS Form 5305-SEP Simplified Employee Pension-Individual Retirement Accounts Contribution Agreement. IRS Form 5305-SIMPLE Savings Incentive Match Plan for Employees of Small Employers (SIMPLE) (for use with a Designated Financial Institution).  Top   I IRA Change of Beneficiary IRA Deposit Slip — see Deposit Slip - IRA IRA Distribution Request  [Read State Withholding Guidelines] (Roth) IRA Distribution Request — see Roth IRA Distribution Request IRA Recharacterization Request IRA Revocation Irrevocable Stock or Bond Power IRS Forms — see Government Forms  Top   IRA Disclosures and Agreements IRA Custodial Agreement & Disclosure for Roth IRA Custodial Agreement & Disclosure for SIMPLE IRA Custodial Agreement & Disclosure for Traditional, Rollover & SEP  Top   L Limited Liability Company Trading Authorization — see Trading Authorization - Limited Liability Company  Top   M Margin Disclosure Document Mutual Funds Breakpoints Discounts Disclosure  Top   N Name Change Authorization NASD Affiliation Letter National Institutional Delivery System (NIDS)(DVP/RVP Instructions)  Top   O Options Disclosure Document  Top   P PIN Change Request Power of Attorney Release Professional Subscriber Agreements (AMEX) Professional Subscriber Agreements (NASDAQ) Professional Subscriber Agreements (NYSE) Professional Subscriber Agreements (OPRA)  Top   R Rule 144 Affiliate Rule 144 Non-Affiliate Rule 145 Rule 701  Top   S Sell by Prospectus Sole Proprietorship Certification Sole Stockholder Certificate Stock Option Exercise Form — see Employee Stock Option Exercise Form Systematic Transaction Form for Mutual Funds  Top   T Tenants by Entireties Tenants in Common Third-Party Release Trading Authorization – Full Trading Authorization – Investment Club Trading Authorization – Limited Liability Company Trading Authorization Limited to Purchases and Sales of Securities Trading Authorization – Partnership Transfer on Death (TOD) Agreement Trustee Certification of Trustee Powers  Top   W W-8 Forms:  W-8BEN, W-8ECI, W-8EXP, W-8IMY W-9 Form  Top

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