You need to supply executed copies of additional forms so that you can engage in certain types of trading activities in your account. You may request some of the forms from us by email or print out certain of the forms where indicated. When you have the form, fill it in, sign it and mail it to us.

All accounts need:

• New Account Form
• Request for Taxpayer Identification Number and Certification
  (Form W-9)--if you have a Social Security Number

  or

• Certification of Foreign Status (Form W-8)
  if you are not a U.S. citizen and do not live in the U.S.A.

All joint accounts need:

• Joint Account Agreement

All corporate accounts need:

• Corporate Resolutions (CR)

All trust accounts need:

• Trust or ERISA Plan Trustee Certification (TH)

All Individual Retirement Accounts (IRAs) need:

• Adoption Agreement and New Account Form for IRAs (NQ)
  ($25.00 installation fee, $35.00 annual fee)

To qualify for margin trading or short selling:

• Client Agreement (ML)

To qualify for option trading:

• Client Qualification Form Options
•  
• Client Option Agreement (OA)

To transfer an account to Marquette de Bary Co., Inc., from another firm use:

• Transfer Request Form (ACAT)

If you have any question as to which forms to request, call us at (800) 221.3305 (in the U.S.)

or e-mail us.

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