Forms and Documents                      2018 ACC (click)

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PICI  ACCOUNT DOCUMENTS	HTS  ACCOUNT DOCUMENTS
PICI Account Opening Checklist PICI New Account Document PICI Trust Account Supplement PICI Partnership Account Supplement   Account Approval Form 02-2017 Account Asset Transfer Form 01-2017 Check Received Notification 02-2017 Fund Request (fee charged to process wire transfers) 02-2017 Low Price Securities Documentation 02-2017 Mutual Fund Authorized Switch Letter Mutual Fund "B &/or C" Shares Purchases Mutual Fund BD Change Request Unsolicited Transaction Acknowledgement 02-2017 W-9 Form   INSTITUTION ACCOUNT DOCUMENTS PICI Institutional New Account Document Institutional Letter of Authority   POWER OF ATTORNEY DOCUMENTS POA-Full Trading Authorization POA -Limited Trading Authorization POA -Limited Power of Attorney   ORDER TICKETS Customer Bond Ticket Dealer Bond Ticket Equity or Option Buy Ticket Equity or Option Sell Ticket Mutual Fund Order Ticket Muni Order Ticket Supplement	Please access all HTS account documents via the Learning Exchange module within Talysis (CSS) System.
	ACCOUNT CHANGE FORMS Account Information Change Form 01-2017   OPTION ACCOUNT DOCUMENTS Characteristics & Risks of Standardized Options  (above link is to optionsclearing.com where you will find current supplements to the disclosure document) Uncovered Option Writers   ALTERNATIVE PRODUCTS Alternative Investment Disclosure Document 02-2017   INSURANCE DOCUMENTS Annuity Disclosure Form Annuity Exchange Disclosure Form VLI Information and Acknowledgment   NFA FORMS (Futures) NFA Self-Exam Checklist (IB) Commodities S&P Manual January 2014   FUTURES ACCOUNT DOCUMENTS PICI Futures New Account Document Commodities-Additional Risk Disclosure
COMPLIANCE FORMS & DOCUMENTS
Account Activity Letter of Understanding Account Review Information Form AML Program DBA Disclosure Form Do-Not-Call Form Do-Not-Call List Due Diligence Template Due Diligence Instructions Fine List Firm Audited  Financials 6-30-18 LOA - Federal Funds Wire LOA - Transfer & Deposit of Stock	NCFA Privacy Policy & Form ADV Part II Notification Order Execution Complaint Outside Business Activity 02-2017 RR Active Account Worksheet Selling Agreements Seminar Attendee Roster Securities Certs Client Delivery Inst-Mailed In Securities Certs Client Delivery Inst-Walk In Signature Block Instructions - Outlook 2010 Trade Correction &/or Error Rpt Form Verbal Non-Operational Complaint Form
*****  2018 ANNUAL COMPLIANCE PROGRAM  ***** Firm Compliance Meeting (online video presentation & review questions) Firm Compliance Meeting Outline (print to follow along with meeting) ACC Annual Compliance Certification (2018 ACC - online certification) ACC Reporting Page (CRP - online - use for reportable answers on ACC if applicable) Annual Compliance Program Attestation (use to certify completion of compliance program)