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 1-31-2024

 

WELCOME

 

FORMS & DOCUMENTS

 

COMPLIANCE & EDUCATION

 

PRODUCTS

 

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HO P&P

June 2022

 

WSP Manual

June 2022

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Links of Interest

 

FINRA

MSRB

SIPC

SEC

NFA

CBOE

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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 2019

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

Securities Certificate Delivery Notification 2019

Trade Correction Report Form 2019

Unsolicited Transaction Acknowledgement 2019

W-9 Form

 

 

 

 

© PICI 2023 All rights reserved

WELCOME - FORMS & DOCUMENTS ­ COMPLIANCE & EDUCATION - PRODUCTS

 

Polar Investment Counsel Inc.

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