Polar Investment Counsel Inc.
Member: FINRA, NFA, MSRB, SIPC
Independent Securities & Futures Brokers
Home Office: Thief River Falls MN
Annual Compliance Program - Compliance Meeting Available - Completion of Program Due 1-31-2025
WELCOME
FORMS & DOCUMENTS
COMPLIANCE & EDUCATION
PRODUCTS
________________
HO P&P
February 2024
WSP Manual
Links of Interest
FINRA
MSRB
SIPC
SEC
NFA
CBOE
PICI CIB
Customer
Information
Brochure
(All associates should be familiar with this brochure)
PolarInvest1.com
Forms & Documents
PICI ACCOUNT DOCUMENTS HTS ACCOUNT DOCUMENTS Account Opening Procedures 2019 Account Approval Form 2024 New Account Document 2019 Trust Account Supplement 2019 Partnership Account Supplement 2019 Institutional New Account Document 2019 Account Information Change Form 2019 Fund Request 2019 (fee charged to process wire transfers) Fed Wire Authorization 2019 (client must sign) Internal Journal Request 2019 (former Asset Transfer Form) Access all HTS documents via the HTS Service Center INSURANCE DOCUMENTS Annuity Purchase Disclosure Form 2019 Annuity Exchange Disclosure Form 2019 NFA FORMS (Futures-Commodities) NFA Self-Exam Checklist (IB) printed 12-10-2020 Commodities S&P Manual January 2019 ORDER TICKETS Bond Ticket 2019 Muni Order Ticket Approval 2017 COMPLIANCE FORMS & DOCUMENTS AIP Approval Form 2018 AIP Disclosure 2017 Characteristics & Risks of Standardized Options Check Received Notification 2019 Due Diligence Instructions 2019 Due Diligence Template 2019 Fine List Firm Audited Financials 6-30-23 Low Price Securities Documentation 2019 Mutual Fund BD Change Request 2019 NCFA Privacy Policy 2019 Outside Business Activity 02-2017 Qualified-Retirement Rollover Disclosure 11-2024 Securities Certificate Delivery Notification 2019 Trade Correction Report Form 2019 Unsolicited Transaction Acknowledgement 2019 W-9 Form
PICI ACCOUNT DOCUMENTS
HTS ACCOUNT DOCUMENTS
Account Opening Procedures 2019
Account Approval Form 2024
New Account Document 2019
Trust Account Supplement 2019
Partnership Account Supplement 2019
Institutional New Account Document 2019
Account Information Change Form 2019
Fund Request 2019 (fee charged to process wire transfers)
Fed Wire Authorization 2019 (client must sign)
Internal Journal Request 2019 (former Asset Transfer Form)
Access all HTS documents via the HTS Service Center
INSURANCE DOCUMENTS
Annuity Purchase Disclosure Form 2019
Annuity Exchange Disclosure Form 2019
NFA FORMS (Futures-Commodities)
NFA Self-Exam Checklist (IB) printed 12-10-2020
Commodities S&P Manual January 2019
ORDER TICKETS
Bond Ticket 2019
Muni Order Ticket Approval 2017
COMPLIANCE FORMS & DOCUMENTS
AIP Approval Form 2018
AIP Disclosure 2017
Characteristics & Risks of Standardized Options
Check Received Notification 2019
Due Diligence Instructions 2019
Due Diligence Template 2019
Fine List
Firm Audited Financials 6-30-23
Low Price Securities Documentation 2019
Mutual Fund BD Change Request 2019
NCFA Privacy Policy 2019
Outside Business Activity 02-2017
Qualified-Retirement Rollover Disclosure 11-2024
Securities Certificate Delivery Notification 2019
Trade Correction Report Form 2019
Unsolicited Transaction Acknowledgement 2019
W-9 Form
© PICI 2024 All rights reserved
WELCOME - FORMS & DOCUMENTS COMPLIANCE & EDUCATION - PRODUCTS
19547 210th Ave NE Thief River Falls MN 56701
218-681-7344
Mike Jordan - President, CEO Sherry Abbott - Exec VP, CCO, CFO
mjordan@polarinvest1.com sabbott@polarinvest1.com
