Download Materials

A Free Adobe Acrobat Reader is required to access these files.

The following materials are available in Portable Document Format (PDF), which enables you to download, view, and print the materials. Directions for how to use the Adobe Acrobat Reader are included below; we suggest that you print this screen for reference.

Materials Now Available Through The Source
A comprehensive list of materials is available for view, print, and download from the Material Catalog in The Source. With access to nearly 600 documents, you can search through the catalog by conducing:

A basic keyword search by entering words that generally describe the material you are looking for.
An advanced search and identify specific criteria including product/service categories like ProCash Plus, material types such as Form, and target audience including individual investor.

Visit the Material Catalog today to retrieve the forms you need to manage your growing business.

+ General Products and Services

- Operational Forms

	Accommodation Transfer Form Use this form to register and ship securities to a name or address other than the name and address that appears on the BrokerView Account Information (AI) screen.
	Affidavit of Domicile Form Use this form to sell and/or transfer estate-owned stock.
	Brokerage Account Transfer Form Use this form to transfer (either partially or in full) assets held at another organization into your control through Pershing, as well as to request the rollover of assets from a qualified retirement plan (QRP) into an individual retirement account or another QRP.
	Community Property Agreement Use this form to designate a joint account as community property.
	Partnership Account Form Use this form to designate an authorized individual(s) to act on behalf of a partnership account.
	Corporate Resolution Form Use this form to designate an authorized individual(s) to act on behalf of a corporation.
	Trading Authorization and Indemnification Form Use this form to appoint an individual as agent/attorney-in-fact for an account.
	Option Agreement and Approval Form Use this form to establish an account for option trading (if approved).
	Institutional/Retail New Account Form Use this form to open a retail or institutional account (for investment professional use only).
	Investment Club Account Agreement Use this form as a prototype agreement for investment club members to establish an investment club account.
	Joint Account Agreement Use this form to establish a joint account in which each joint party owner acknowledges the other's right and ability to act on behalf of the account.
	Margin Agreement Use this form to establish an account for margin trading (if approved).
	Margin Disclosure Statement Use this document in conjunction with the Margin Agreement. It must be provided to your client "prior to or upon opening" a margin account.
	New Account Application (Triplicate) Use this form to establish a retail or non-Pershing LLC custodial account.
	New Account Application (Single Sheet)
	Notice to Change Client Account Form Use this form to make changes to certain account information, such as the account title, client address, investment professional, and account instructions.
	Pershing ACH Authorization Agreement Use this form to establish periodic credits from a client's retail or non-Pershing LLC custodial brokerage account to the client's bank account.
	ACH Authorization Agreement for Retirement Plans Use this form to begin the electronic transfer of funds between your client's retirement account and bank account.
	PO Box Authorization Form Use this form to authorize your broker-dealer to send mail to a post office box.
	Irrevocable Stock or Bond Power Form Use this form to make a certificate negotiable when the back of it has not been signed.
	Transfer on Death Account Agreement - Individual Use this form to authorize the designation of an individual account as "Transfer on Death."
	Transfer on Death Account Agreement - Joint Tenants Use this form to authorize the designation of a joint account as "Transfer on Death."

+ Retirement Products

+ Standard File Layouts

Directions:

Download and install a free copy of Adobe's Acrobat Reader if you do not already have it on your computer.

Click on one of the application links above*.

Depending on which Acrobat product you are using, as well as how it is configured, either the form will automatically be opened in the Adobe Acrobat Reader, or you will get a dialog box asking you how you wish to handle the file. Choose either Save File or Open Application.

-	If you choose *Save File*, you will be able to view the document using the Acrobat Reader once you save it on your hard drive.
-	If you choose *Open Application, click Search* and select the Acrobat Reader you have installed (e.g., c:\acroread\acroread.exe). After you choose Ok, the file will automatically appear in the Acrobat Reader.

At this point, you can print the application to a printer.

After you have printed the application, complete, sign and mail it to your firm.

If you have problems downloading the Acrobat files, visit the Adobe site for help.