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)

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

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

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

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

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