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Finra Rule: UNIFORM PRACTICE CODE(18)
USINFO | 2013-12-18 16:10
(b) Customer Retirement Account Transfer
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CUSTOMER RETIREMENT PLAN SECURITIES ACCOUNT TRANSFER INSTRUCTION |
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| RECEIVING FIRM ______________________________ | CARRYING FIRM ______________________ |
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RECEIVING FIRM ACCOUNT NUMBER ___________________________ |
CARRYING FIRM ACCOUNT NUMBER _________________ |
| ACCOUNT TITLE |
____________________________ ____________________________ ____________________________ |
| ACCOUNT TYPE _________________________(I = IRA, Q = QUALIFIED) | |
| TAX ID OR SS NUMBER _________________________ | |
| TO ___________________________________________ | |
| (Prior Custodian/Trustee Name, Address and Tax ID Number) | |
| You are the custodian/trustee for my retirement plan securities account with | |
| ______________________________________________ | |
| (Carrying Firm Name and Address) | |
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as my broker. Please be advised that I have amended my retirement plan and have adopted a new retirement plan with the below indicated as successor custodian/trustee and |
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| _____________________________________________________ as broker | |
| (Receiving Firm Name and Address) | |
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Pursuant to said amendment, please transfer all assets in my securities account to such successor custodian/trustee. I understand that to the extent any assets in my account are not readily transferable, with or without penalties, such assets may not be transferred within the time frames required by Rule 11870 of the FINRA Uniform Practice Code. I understand that the above indicated carrying firm will contact me with respect to the disposition of any assets in my account that are nontransferable. I authorize you to deduct any outstanding fees due you from the credit balance in my account. If my account does not contain a credit balance, or if the credit balance in the account is insufficient to satisfy any outstanding fees due you, I authorize you to liquidate the assets in my account to the extent necessary to satisfy any outstanding fees due you. If certificates or other instruments in my account are in your physical possession, I instruct you to transfer them in good deliverable form, including affixing any necessary tax waivers, to enable the successor custodian/trustee to transfer them in its name for the purpose of sale, when and as directed by me. Upon receiving a copy of this transfer instruction, the carrying firm will cancel all open orders for my account on its books. |
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| ________________________________ | _________________________ |
| (Customer's Signature) | (Date) |
| Please be advised that ______________________________________________ | |
| (Successor Custodian/Trustee Name, Address and Tax ID Number) | |
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will accept the above captioned account as successor custodian/trustee. Please send all checks to |
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| ___________________________________________ and non-DTC eligible items to | |
| _________________________________________________ | |
| ______________________________ | ______________________ |
| (Successor Custodian/Trustee Authorized Signature) | (Date) |
| ______________________________ | _____________________________ |
| (Tax ID Number) | (Date of Trust) |
| [It is suggested that a copy of the customer's most recent account statement be attached.] | |
| Receiving Firm Contact: | |
| Name ____________________________ | Phone Number ___________________ |
| For Broker Use Only: | |
| Mutual Fund Registration Instructions: | |
| Registration Name _______________________________________________ | |
| Address _______________________________________________________ | |
| Tax ID # _______________________________________________________ | |
| Dividend and Capital Gains Options: | |
| Reinvest ( ) | Dividend Cash/Capital Gains Reinvest ( ) |
| All Cash ( ) | Deposit to New Plan ( ) |
| Issue Certificate ( ) | Deposit to Existing Plan ...... ( ) |
| Broker Instructions (if broker agreement exists): | |
| Name ________________________________________________________ | |
| Address ______________________________________________________ | |
| RR Name/Number/Branch ________________________________________ | |
(c) Mutual Fund Re-Registration
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MUTUAL FUND RE-REGISTRATION INSTRUCTIONS USED FOR BROKER-TO-BROKER TRANSFERS |
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| (1) | TO: ______________________________ | Date: ___________________ | ||
| Transfer Agent: ___________________________ | ||||
| Address: ________________________________________ | ||||
| (2) |
Present Account Information |
Name of Fund: __________________________________ Fund A/C #: ____________________________________ Certificate # (if in physical form) [Certificate attached must be in negotiable form.] Account Registration: ____________________________ |
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| (3)(A) |
Broker Identification |
Old Firm Name and In-house A/C# _____________________________ |
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| (3)(B) |
New Firm Name and In-house A/C# _______________________________ |
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| (4) |
Registration Instructions |
Please transfer _________ shares from the above-referenced account and register as follows: | ||
| Name _____________________________________________________________________ | ||||
| Address ___________________________________________________________________ | ||||
| Tax ID # ____________________________________________________________________ | ||||
| Dividend and Capital Gains Option: | ||||
| Reinvest ( ) | Dividend Cash/Capital Gains Reinvest ( ) | |||
| All Cash ( ) | Deposit to New Plan ( ) | |||
| Issue Certificate ( ) | Deposit to Existing Plan ........ ( ) | |||
| (5) | Broker-Dealer Instructions |
If a Broker-Dealer Agreement exists: Name ________________________________________ Address ________________________________________ RR Name/Number/Branch ________________________________________ |
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| (6) | Release |
In consideration for your complying with the above request, we hereby agree to indemnify the: ___________________ (fund) and _________________ (agent) against any and all losses incurred hereof. Thank you in advance for your cooperation in this matter. Sincerely, |
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| (Signature Guarantee Stamp) | _____________________________ | |||
| (Authorized Signature) | ||||
| If there are any questions call: | ||||
| _________________________________ | ________________________ | |||
| (Signature of Carrying Firm) | (Phone Number) | |||
| ________________________________ | ________________________ | |||
| (Signature of Receiving Firm) | (Phone Number) | |||
| Items 1, 2, 3a are completed by the carrying firm. | ||||
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Items 3b, 4 and 5 are completed by the receiving firm. |
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