Single Forms

Universal

Account Kit Forms

• Associated Person
  Associated Person signature form to be used for any asset class for any TradeStation branch.
  https://www.tradestation.com/single-forms/associated-person/
• Certificate of Corporate Secretary
  Corporate Secretary signature form to be used for any asset class for any TradeStation branch.
  https://www.tradestation.com/single-forms/certificate-of-corporate-secretary/
• Certificate of General Partner
  General Partner signature form to be used for any asset class for any TradeStation branch.
  https://www.tradestation.com/single-forms/certificate-of-general-partner/
• Certificate of Managing Member, Manager or Officer of LLC
  Managing Member/LLC signature form to be used for any asset class for any TradeStation branch.
  https://www.tradestation.com/single-forms/certificate-of-managing-member-manager-or-officer-of-llc/
• Certificate of Trustees
  Trustee signature form to be used for any asset class for any TradeStation branch.
  https://www.tradestation.com/single-forms/certificate-of-trustees/
• Exempt Commodity Trading Advisory Letter
  CTA form to be used as needed for any TradeStation branch.
  https://www.tradestation.com/single-forms/exempt-commodity-trading-advisory-letter/
• Sole Proprietorship Certification
  Sole Proprietorship signature form to be used for any asset class for any TradeStation branch.
  https://www.tradestation.com/single-forms/sole-proprietorship-certification/
• Trusted Contact Person Form
  https://www.tradestation.com/single-forms/trusted-contact-person-form/
• Corporations Objective Attestation – Israel
  Corporation’s Objective Attestation Form to be used by entities based in Israel applying for a TradeStation account.
  https://www.tradestation.com/single-forms/corporations-objective-attestation-israel/

Account Management

• Affidavit of Domicile
  Form to send someone to authorize the transfer of securities registered in the name of or owned by the decedent at the time of death.
  https://www.tradestation.com/single-forms/affidavit-of-domicile/
• Change of Address Form
  Form to change the address, phone number or email address of record for an account.
  https://www.tradestation.com/single-forms/change-of-address-form/
• Change of Name Form
  Form to change the legal name for an account and provide appropriate documentation (certified marriage license, court order, etc.).
  https://www.tradestation.com/single-forms/change-of-name-form/
• Client Information Update
  https://www.tradestation.com/single-forms/client-information-update/
• Clone Letter
  To request that a new account be created by cloning existing account documentation.
  https://www.tradestation.com/single-forms/clone-letter/
• Interested Party Authorization
  Form for clients to fill out to give interested Parties access to view online statements and confirmations.
  https://www.tradestation.com/single-forms/interested-party-authorization/
• Irrevocable Stock and Bond Power
  Transfer physical certificate holdings of stocks and bonds into an account.
  https://www.tradestation.com/single-forms/irrevocable-stock-and-bond-power/
• Onboarding Enhanced Due Diligence Questionnaire
  https://www.tradestation.com/single-forms/enhanced-due-diligence-aml-questionnaire/
• Options Information Form and Agreement
  Form for clients who would like the ability to trade options on their account.
  https://www.tradestation.com/single-forms/options-information-form-and-agreement/
• Periodic Enhanced Due Diligence Questionnaire
  Clients must complete the Periodic Enhanced Due Diligence Questionnaire when instructed by TradeStation after their account has been opened.
  https://cdn.tradestation.com/uploads/Periodic-Enhanced-Due-Diligence-Questionnaire.pdf
• Politically Exposed Person (PEP) Client Questionnaire
  https://www.tradestation.com/single-forms/pep-client-questionnaire/
• Remove Worthless Securities
  Remove Worthless Securities
  https://www.tradestation.com/single-forms/remove-worthless-securities/
• Third Party Trading Authorization
  Third Party Trading Authorization form to be used for any asset class for any U.S. branch.
  https://www.tradestation.com/single-forms/third-party-trading-authorization/
• Transfer on Death Account Agreement
  Use this form to name a beneficiary for an equity account.
  https://www.tradestation.com/single-forms/transfer-on-death-account-agreement/

Deposits and Withdrawals

• Customer Account Transfer
  To request the transfer of funds or securities from another account.  (ACAT Form)
  https://www.tradestation.com/single-forms/customer-account-transfer/
• DRS Deposit Request
  Complete for deposits via the Direct Registration System.
  https://www.tradestation.com/single-forms/drs-deposit-request/
• DTC Deposit Request
  Complete for deposits via a Depository Trust Company.
  https://www.tradestation.com/single-forms/dtc-deposit-request/
• DTC Transfer Out Form
  https://www.tradestation.com/single-forms/dtc-transfer-out-form/
• Online Transfer and ACH Authorization
  Request online access to submit, and view the status of, funding requests (for example, request a check or transfer funds between accounts).
  https://www.tradestation.com/single-forms/online-transfer-and-ach-authorization/
• Outgoing Wire Transfer
  Request to wire funds out of a TradeStation account.
  https://www.tradestation.com/single-forms/outgoing-wire-transfer/
• Request to Deposit Securities
  https://www.tradestation.com/single-forms/request-to-deposit-securities/
• Transfer Letter of Authorization
  To request a transfer of funds or positions between TradeStation accounts.
  https://www.tradestation.com/single-forms/transfer-letter-of-authorization/
• Futures Account External Transfer Form
  https://www.tradestation.com/single-forms/futures-account-external-transfer-form/

Exchange Forms

• CME Group Education Waiver Form
  Form used for the Academic Alliance Program
  https://www.tradestation.com/single-forms/cme-group-education-waiver-form/
• CME Subscriber Trading Waiver Migration Request
  CME Subscriber Trading Waiver Migration Request
  https://www.tradestation.com/single-forms/cme-subscriber-trading-waiver-migration-request/
• Entitlements Cover Sheet
  Entitlements Cover Sheet
  https://www.tradestation.com/single-forms/entitlements-cover-sheet/
• NYSE Nonprofessional Subscriber Agreement
  Required agreement for nonprofessional NYSE exchange data subscribers.
  https://www.tradestation.com/single-forms/nyse-nonprofessional-subscriber-agreement/
• NYSE Professional Subscriber Agreement
  Required agreement for professional NYSE exchange data subscribers.
  https://www.tradestation.com/single-forms/nyse-professional-subscriber-agreement/
• OPRA Professional Subscriber Agreement
  Required agreement for professional OPRA exchange data subscribers.
  https://www.tradestation.com/single-forms/opra-professional-subscriber-agreement/

Institutional

• Agreement for Prime Brokerage Clearance Services
  Also known as Form 151.
  https://www.tradestation.com/single-forms/agreement-prime-brokerage-clearance-services/
• DVP/RVP New Account Worksheet
  https://www.tradestation.com/single-forms/dvp-rvp-new-account-worksheet/
• Equities Allocation Agreement
  https://www.tradestation.com/single-forms/equities-allocation-agreement/
• Fee Payment Authorization
  https://www.tradestation.com/single-forms/fee-payment-authorization/
• Foreign Banks Certification
  https://www.tradestation.com/single-forms/foreign-banks-certification/
• Give-Up New Account Worksheet
  https://www.tradestation.com/single-forms/give-new-account-worksheet/
• Introducing Broker Authorization
  https://www.tradestation.com/single-forms/introducing-broker-authorization/
• Letter of Direction
  Letter of Direction and Limited Power of Attorney for Customer Following a Trading Program
  https://www.tradestation.com/single-forms/letter-of-direction/
• Soft Dollar Agreement
  https://www.tradestation.com/single-forms/soft-dollar-agreement/

U.S. Tax Forms

• Mark to Market Election
  Document to enroll in mark-to-market accounting method for tax reporting purposes, for qualified accounts.
  https://www.tradestation.com/single-forms/mark-to-market-election/
• Non-Qualified Account Attestation
  To be completed for all 401k & Profit-Sharing Plans.
  https://www.tradestation.com/single-forms/non-qualified-account-attestation/
• U.S. Tax Form W-8
  Document testifying that, as a foreign investor, the investor is not subject to U.S. Tax Withholding.
  https://www.irs.gov/pub/irs-pdf/fw8ben.pdf
• U.S. Tax Form W-8 Entity
  Document for Entity accounts testifying that, as a foreign investor, the investor is not subject to U.S. Tax Withholding.
  https://www.irs.gov/pub/irs-pdf/fw8bene.pdf
• U.S. Tax Form W-8IMY
  Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholding and Reporting.
  https://www.irs.gov/pub/irs-pdf/fw8imy.pdf
• U.S. Tax Form W-9
  Request for Taxpayer Identification Number and Certification.
  https://www.irs.gov/pub/irs-pdf/fw9.pdf

TradeStation Securities

Equities Accounts

• IRA Beneficiary Change Form
  To be used to change a beneficiary on an account
  https://www.tradestation.com/single-forms/ira-beneficiary-change-form/
• IRA Distribution
  Form to request a distribution from an IRA account.
  https://www.tradestation.com/single-forms/ira-distribution/
• SEP IRA 5305 Application
  Simplified Employee Pension-IRA Accounts Contribution Agreement
  https://www.tradestation.com/single-forms/sep-ira-5305-application/
• Simple IRA 5304 Application
  Simple IRA 5304 Application
  https://www.tradestation.com/single-forms/simple-ira-5304-application/
• Simple IRA 5305 Application
  Simple IRA 5305 Application
  https://www.tradestation.com/single-forms/simple-ira-5305-application/

General

• IRA Application
  IRA Application
  https://www.tradestation.com/single-forms/ira-application/
• IRA Rollover
  Form to have funds correctly coded and deposited into an IRA account.
  https://www.tradestation.com/single-forms/ira-rollover/