Member: FINRA, NFA, MSRB, SIPC

Independent Securities & Futures Brokers - Investment Advisory

Home Office: Thief River Falls MN

Firm Element CE Self-Exam Available-Deadline 12-30-10 ** 2010 Compliance Meeting Posted in Forms & Docs Section-Compliance Doc Sections-Deadline 12-30-10

Forms & Documents

OFAC Search

Clearing Firms

Monthly Updates

Continuing Education

Alternative Investing

Investment Advisory

Firm Fine List

Do-Not-Call List

SWS Research

FAQs

Links of Interest

Selling Agreements

PICI Contacts

 

PDF Version

S&P Manual

August 2009


 

Forms and Documents

 

Note: The forms on this page are presented in Adobe Acrobat format.  These forms require that Acrobat Reader 5.0 or higher be installed on your system.  If you don't have Acrobat Reader, you may download it free from www.adobe.com 

 

PICI NEW ACCOUNT DOCUMENTS   SWS NEW ACCOUNT DOCUMENTS

New Account Document - Securities

New Account Document - Futures

New Account Document - Trust

New Account Document - Corporate

New Account Document - Estate

New Account Document - Institutional

New Account Document - Partnership

PICI New Account Opening Checklist

 

ACCESS ALL SWS ACCOUNT DOCUMENTS VIA THE LEARNING EXCHANGE MODULE WITHIN CSS SABIL OR VIA THE LINK BELOW:

LEARNING EXCHANGE

 

PRIVATE PLACEMENT/LIMITED PARTNERSHIP FEASIBILITY LETTERS - For use with an IRA account only

SWS Private Investment Form (replaces individual IRA Investment Request form)

Cole Credit Property Trust Quadriga Superfund  
Frontier Funds Retzer Fund I  
Campbell (CSAF) Grant Park Futures Rogers Intl Raw Materials Fund  
Strategic Opportunity Fund  
Cole Credit Property Funds Providence Select Fund TriView Global Fund  
     
MISCELLANEOUS ACCOUNT DOCUMENTS

Acct Access-Online Usage Agreement

Account Asset Transfer Form

Account Departure/Reduction Form

Account Information Change Form

Account Information Change Notice (letter to client)

Account Transfer Form (ACAT)

ACH Request Form

Acknowledgement of Non-Solicitation

Affidavit of Domicile

Alternative Financial Transaction Approval

Corporate Resolution

Email/Fax Confirm Request

Fund Request (fee charged to process)

Low Price Securities Documentation

Low Priced Stock Purchase Request

Money Market Fund Waiver

Mutual Fund Authorized Switch Letter

Mutual Fund "B &/or C" Shares Purchases

Mutual Fund BD Change Request

Notice of Item Received for your Investment Account

OSJ Manager Account Opening Approval

PICI Client Logon Fax Cover Letter (generic-HO use only)

Re-Doc SWS Scan Instruction Letter

SWS Online Account Enhancements (memo to clients)

Transfer on Death

Trustee Certification

Vision Account Application

W-9 Form

 

     
ACCOUNT ADDRESS CHANGES   NFA FORMS

Outside Entity (NCFA) Address Change Instructions

Client Address Change Instruction Letter

American Funds Address Chg Letter

ICON Funds Address Chg Letter

NYL MainStay Policy Request Form

Putnam Funds Address Chg Letter

NFA Self-Exam Checklist (Complete)

NFA Self-Exam Introduction

NFA Self-Exam Checklist for IB's

 

     

MARGIN ACCOUNT DOCUMENTS

FUTURES ACCOUNT DOCUMENTS

OPTIONS ACCOUNT DOCUMENTS

PICI Margin Account Disclosure

Commodities-Addl Risk Disclosure

Characteristics & Risks of Standardized Options  (link to optionsclearing.com)

PDF Risk Disclosure

Supplement (May)

Risk Supplement (June)

Uncovered Option Writers

     
POWER OF ATTORNEY DOCUMENTS INSTITUTION DOCUMENTS INSURANCE DOCUMENTS

POA-Full Trading Authorization

POA -Limited Trading Authorization

POA -Limited Power of Attorney

Institutional Letter of Authority

Annuity Disclosure Form

Annuity Exchange Disclosure Form

VLI Information and Acknowledgment

     
ORDER TICKETS** BLOTTERS++ INSTRUCTIONAL DOCUMENTS

Customer Bond Ticket

Dealer Bond Ticket

Equity or Option Buy Ticket

Equity or Option Sell Ticket

Mutual Fund Order Ticket

Bond Trade & Fixed Income Blotter

Checks Received Blotter

Client Documentation Rcvd Blotter

Daily Trade Blotter

Mutual Fund Blotter

Month End Activity Blotter

Non-Clearing Firm Account Numbers

Quarterly Trade Activity Blotter

Sales to Meet Margin Call Blotter

Securities Received Blotter

Special Products Trades Blotter

Accessing Email Away From the Office

Excel Blotter Instructions

Business Clock Synchronization

Creating an Email Signature Block**

SWS Email Notification Service

Email Rules 101

Entering Received Time

FinCEN 314(a) Request Instructions

Monies & Securities Received & Disbursed

NCFA Privacy Policy Notification

New Account Opening Procedures

PICI Annual Mailing Instructions

Protect Your PC

Saving Confirms                         revisions in progress

COMPLIANCE FORMS & DOCUMENTS    

Account Activity Letter of Understanding

Account Review Information Form

Annual Compliance Certification (ACC)

ACC Reporting Page (CRP)

Branch Office Compliance Review or Onsite Audit

Branch Review Reporting Page

Compliance Meeting

DBA Disclosure Form

Do-Not-Call Form

Do-Not-Call List

FinCEN Form 101 (SAR-SF) 

FinCEN Form 101a (instructions)

Incoming Correspondence Log

Investment Objective Certification

LOA - Federal Funds Wire

LOA - Transfer & Deposit of Stock

NCFA Privacy Policy & Form ADV Part II Notification

New Acct & Supervisory Log**

Order Execution Complaint

Outside Business Activity

PICI AML Program

PICI Business Email Rules

PICI S&P Manual Acknowledgement

RR Active Account Worksheet

Seminar Attendee Roster**

Trade Correction &/or Error Rpt Form

Verbal Non-Operational Complaint Form

 

   
    ++Blotters are now kept in Excel workbooks.  If you need a new workbook please send an email request to: sabbott@polarinvest1.com
     
  **These forms can be obtained in MSWord format to use interactively.  Please send an email request for the form to: sabbott@polarinvest1.com

 

 

 

PICI Customer Information Brochure

Home Office: 218-681-7344     Fax: 218-681-1329

Website Created & Maintained by:

SWS LLC

FORMS & DOCUMENTS ? OFAC SDN SEARCH ? CLEARING FIRMS ? PICI MONTHLY UPDATE ? CONTINUING EDUCATION

 ALTERNATIVE INVESTING ? INVESTMENT ADVISORY  ?FINE LIST ?DNC LIST? SWS RESEARCH ? FAQs ? LINKS OF INTEREST ?  SELLING AGREEMENTS

PICI CONTACTS

 

Polar Investment Counsel Inc.

19547 210th Ave NE   Thief River Falls MN  56701