DOCUMENTS ENROLLMENT. When you enroll your account in E-Docs, you will receive trade confirmations, account statements, tax-related documents, proxies, prospectuses, annual reports, and all other eligible account documents electronically. An e-mail notification will be sent to the Account Owner’s e-mail address on the same day that any electronic documents become available. Just log into your account to access E-Docs and view, print, or download your electronic documents. By opening your account and/or selecting yes below, you agree to enroll in the Apex Clearing Corporation Sweep Program (the “Sweep Program”) and agree that you have read and understand the terms and conditions of the Sweep Program. The Sweep Program terms and conditions and the list of banks participating and/or products available in the Sweep Program can be located at XxxxXxxxxxxx.xxx/xxxxxxxxxxx. Free credit balances in the account, including dividends and proceeds from the sale of securities that are credited to the account while enrolled in the Sweep Program, may automatically be swept in accordance with the terms of the Sweep Program. Further, you agree Apex Clearing Corporation may make changes to the Sweep Program terms and conditions or any products or banks in the Sweep Program at any time in Apex’s sole discretion. Your enrollment in the Sweep Program does not guarantee free credit balances in your account will be swept. If you wish to opt out of the Sweep Program you may select “No” in this Section or you may notify your introducing firm at any time. YES No Rule 14b-1(c) of the Securities Exchange Act, unless you object, requires us to disclose to an issuer, upon its request, the names, addresses, and securities positions of our customers who are beneficial owners of the issuer’s securities, held by us in nominee name. The issuer would be permitted to use your name and other related information for corporation communication only. If you object to this disclosure, check the box below. Yes, I do object to the disclosure of such information.
Appears in 3 contracts
Samples: Brokerage Account Agreement, Brokerage Account Agreement, Brokerage Account Agreement
DOCUMENTS ENROLLMENT. When you enroll your account in E-Docs, you will receive trade confirmations, account statements, tax-related documents, proxies, prospectuses, annual reports, and all other eligible account documents electronically. An e-mail notification will be sent to the Account Owner’s e-mail address on the same day that any electronic documents become available. Just log into your account to access E-Docs and view, print, or download your electronic documents. By opening your account and/or selecting yes below, you agree to enroll in the Apex Clearing Corporation Sweep Program (the “Sweep Program”) and agree that you have read and understand the terms and conditions of the Sweep Program. The Sweep Program terms and conditions and the list of banks participating and/or products available in the Sweep Program can be located at XxxxXxxxxxxx.xxx/xxxxxxxxxxx. Free credit balances in the account, including dividends and proceeds from the sale of securities that are credited to the account while enrolled in the Sweep Program, may automatically be swept in accordance with the terms of the Sweep Program. Further, you agree Apex Clearing Corporation may make changes to the Sweep Program terms and conditions or any products or banks in the Sweep Program at any time in Apex’s sole discretion. Your enrollment in the Sweep Program does not guarantee free credit balances in your account will be swept. If you wish to opt out of the Sweep Program you may select “No” in this Section or you may notify your introducing firm at any time. YES No Rule 14b-1(c) of the Securities Exchange Act, unless you object, requires us to disclose to an issuer, upon its request, the names, addresses, and securities positions of our customers who are beneficial owners of the issuer’s securities, held by us in nominee name. The issuer would be permitted to use your name and other related information for corporation communication only. If you object to this disclosure, check the box below. Yes, I do object to the disclosure of such information. IS THE ACCOUNT MAINTAINED FOR A CURRENT OR FORMER POLITICALLY EXPOSED PERSON OR PUBLIC OFFICIAL? (Includes U.S. & Foreign Individuals) YES No IF YES, PLEASE PROVIDE THE NAMES OF THAT OFFICIAL AND OFFICIAL’S IMMEDIATE FAMILY MEMBERS. (Including Former Spouses) IF YES, PLEASE PROVIDE THE NAME OF THE RELATED POLITICAL ORGANIZATION. IS THE ACCOUNT MAINTAINED FOR A FOREIGN FINANCIAL INSTITUTION AS DEFINED BY TITLE 31 OF THE CODE OF FEDERAL REGULATIONS? IS THE ACCOUNT A FOREIGN BANK ORGANIZED UNDER FOREIGN LAW AND LOCATED OUTSIDE OF THE UNITED STATES AS DEFINED BY TITLE 31 OF THE CODE OF FEDERAL REGULATIONS? IF YES, PLEASE LIST U.S. AGENT FOR SERVICE OF PROCESS. OFFICIAL & IMMEDIATE FAMILY MEMBER(S) POLITICAL ORGANIZATION YES No YES No U.S. AGENT Under penalties of perjury, I certify that: (1) The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and (2) I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and (3) I am a U.S. citizen or other U.S. person (defined below), and (4) the FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. Definition of a U.S. person. For federal tax return purposes, you are considered a U.S. person if you are: An individual who is a U.S. citizen or U.S. resident alien, A partnership, corporation, company, or association created or organized in the United States or under the laws of the United States, an estate (other than a foreign estate), or a domestic trust (as defined in Regulations section 301.7701-7). The Internal Revenue Service does not require your consent to any provisions of this document other than the certifications required to avoid backup withholding. EXCEPTIONS EXEMPT PAYEE CODE EXEMPTION FROM FATCA REPORTING CODE (If Any): SIGNATURES I authorize my broker and/or Clearing Firm to obtain a consumer report at the time of application to verify my creditworthiness and to obtain a consumer report from time to time for updates, renewals, extensions, and collection activity on any approved account. Upon my written request, my broker and/or Clearing Firm will disclose to me whether it obtained a report, and if so, the name and address of the consumer-reporting agency that provided it. In the event that my account is denied by Clearing Firm, as a result of the consumer report verification, I authorize Clearing Firm to provide to my broker the reason(s) for such denial. BY SIGNING THIS APPLICATION, I (WE) ACKNOWLEDGE THE FOLLOWING (1) THAT PARAGRAPH 8 OF THE CUSTOMER ACCOUNT AGREEMENT CONTAINS A PREDISPUTE ARBITRATION CLAUSE AND IN ACCORDANCE WITH THIS AGREEMENT I (WE) AGREE IN ADVANCE TO ARBITRATE ANY CONTROVERSIES WHICH MAY ARISE BETWEEN OR AMONG ME (US), MY BROKER, AND/OR CLEARING FIRM, (2) RECEIPT OF A COPY OF THE CUSTOMER ACCOUNT AGREEMENT FOLLOWING THIS APPLICATION AND MY (OUR) AGREEMENT WITH THE TERMS THEREIN AND (3) THE INFORMATION PROVIDED ABOVE IS ACCURATE. SIGNATURE DATE SIGNATURE OF JOINT APPLICANT DATE FOR JOINT ACCOUNTS BOTH PARTIES MUST SIGN FORM FOR OFFICE USE ONLY FIRST TRADE [IB] BRANCH MANAGER APPROVAL CUSTOMER I.D. VERIFIED (Must be completed) Yes [IB] REPRESENTATIVE SIGNATURE DATE OPENED FDID (If you would like to designate the FDID, please provide it here. Otherwise an ID will be assigned at account opening) CAT ACCOUNT TYPE (Selection Required) OATS ACCOUNT TYPE CAT ACCOUNT TYPES: A - Institutional Customer - An institutional account as defined in FINRA Rule 4512(c) E - Employee Account - An employee or associated person of your Broker-Dealer F - Foreign - A non-broker-dealer foreign affiliate or non-reporting Foreign Broker-Dealer I - Individual Customer - An account that does not meet the definition of FINRA Rule 4512(c) and is also not a proprietary account. O - Market Making - See CAT FAQ C5 V - Firm Agency Average Price Account P - Other Proprietary X - Error Account - Error account of the firm OATS ACCOUNT TYPES: A - Institutional Customer - An institutional account as defined in FINRA Rule 4512(c) C - Combined - An order representing more than one type of account E - Employee Account - An employee or associated person of your Broker-Dealer. I - Individual Customer - An account that does not meet the definition of FINRA Rule 4512(c) and is also not a proprietary account. O - Market Making P - Other Proprietary X - Error Account - Error account of the firm This Customer Account Agreement (the “Agreement”) sets forth the respective rights and obligations of Apex Clearing Corporation (“you” or “your” or “Apex”) and the Customer’s (as defined below) brokerage firm (the “Introducing Broker”), and the customer(s) identified on the New Account Application (the “Customer”) in connection with the Customer’s brokerage account with the Introducing Broker (“the Account”). The Customer hereby agrees as follows with respect to the Account, which the Customer has established with the Introducing Broker for the purchase, sale or carrying of securities or contracts relating thereto and/or the borrowing of funds, which transactions are cleared through you. To help the government fight the funding of terrorism and money laundering, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. In order to open an account, the Customer will provide information that will allow you to identify the Customer including, but not limited to, the Customer’s name, address, date of birth, and the Customer’s driver’s license or other identifying documents.
Appears in 2 contracts
Samples: New Account Application & Agreement, New Account Application & Agreement
DOCUMENTS ENROLLMENT. When you enroll your account in E-Docs, you will receive trade confirmations, account statements, tax-related documents, proxies, prospectuses, annual reports, and all other eligible account documents electronically. An e-mail notification will be sent to the Account Owner’s e-mail address on the same day that any electronic documents become available. Just log into your account to access E-Docs and view, print, or download your electronic documents. By opening your account and/or selecting yes below, you agree to enroll in the Apex Clearing Corporation Sweep Program (the “Sweep Program”) and agree that you have read and understand the terms and conditions of the Sweep Program. The Sweep Program terms and conditions and the list of banks participating and/or products available in the Sweep Program can be located at XxxxXxxxxxxx.xxx/xxxxxxxxxxx. Free credit balances in the account, including dividends and proceeds from the sale of securities that are credited to the account while enrolled in the Sweep Program, may automatically be swept in accordance with the terms of the Sweep Program. Further, you agree Apex Clearing Corporation may make changes to the Sweep Program terms and conditions or any products or banks in the Sweep Program at any time in Apex’s sole discretion. Your enrollment in the Sweep Program does not guarantee free credit balances in your account will be swept. If you wish to opt out of the Sweep Program you may select “No” in this Section or you may notify your introducing firm at any time. YES No Rule 14b-1(c) of the Securities Exchange Act, unless you object, requires us to disclose to an issuer, upon its request, the names, addresses, and securities positions of our customers who are beneficial owners of the issuer’s securities, held by us in nominee name. The issuer would be permitted to use your name and other related information for corporation communication only. If you object to this disclosure, check the box below. Yes, I do object to the disclosure of such information. IS THE ACCOUNT MAINTAINED FOR A CURRENT OR FORMER POLITICALLY EXPOSED PERSON OR PUBLIC OFFICIAL? (Includes U.S. & Foreign Individuals) YES No IF YES, PLEASE PROVIDE THE NAMES OF THAT OFFICIAL AND OFFICIAL’S IMMEDIATE FAMILY MEMBERS. (Including Former Spouses) IF YES, PLEASE PROVIDE THE NAME OF THE RELATED POLITICAL ORGANIZATION. IS THE ACCOUNT MAINTAINED FOR A FOREIGN FINANCIAL INSTITUTION AS DEFINED BY TITLE 31 OF THE CODE OF FEDERAL REGULATIONS? IS THE ACCOUNT A FOREIGN BANK ORGANIZED UNDER FOREIGN LAW AND LOCATED OUTSIDE OF THE UNITED STATES AS DEFINED BY TITLE 31 OF THE CODE OF FEDERAL REGULATIONS? IF YES, PLEASE LIST U.S. AGENT FOR SERVICE OF PROCESS. OFFICIAL & IMMEDIATE FAMILY MEMBER(S) POLITICAL ORGANIZATION YES No YES No U.S. AGENT Under penalties of perjury, I certify that: (1) The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and (2) I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and (3) I am a U.S. citizen or other U.S. person (defined below), and (4) the FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. Definition of a U.S. person. For federal tax return purposes, you are considered a U.S. person if you are: An individual who is a U.S. citizen or U.S. resident alien, A partnership, corporation, company, or association created or organized in the United States or under the laws of the United States, an estate (other than a foreign estate), or a domestic trust (as defined in Regulations section 301.7701-7). The Internal Revenue Service does not require your consent to any provisions of this document other than the certifications required to avoid backup withholding. EXCEPTIONS EXEMPT PAYEE CODE EXEMPTION FROM FATCA REPORTING CODE (If Any): SIGNATURES I authorize my broker and/or Clearing Firm to obtain a consumer report at the time of application to verify my creditworthiness and to obtain a consumer report from time to time for updates, renewals, extensions, and collection activity on any approved account. Upon my written request, my broker and/or Clearing Firm will disclose to me whether it obtained a report, and if so, the name and address of the consumer-reporting agency that provided it. In the event that my account is denied by Clearing Firm, as a result of the consumer report verification, I authorize Clearing Firm to provide to my broker the reason(s) for such denial. I Acknowledge that I have read and agree to be bound by all terms and provisions set forth in the "Disclosure" section located at xxx.xxxxxxxxxxxxxxxxx.xxx, including the Margin Disclosure Statement and Apex Clearing Corp. and Planner Securities' Privacy Policy statement. I understand that the company may unilaterally change the terms and conditions of the customer agreement at any time by posting such terms or conditions on the website located at xxx.xxxxxxxxxxxxxxxxx.xxx. Continued use of Planner Securities after such notice will constitute acknowledgment and acceptance of the revised terms and conditions. BY SIGNING THIS APPLICATION, I (WE) ACKNOWLEDGE THE FOLLOWING (1) THAT PARAGRAPH 8 OF THE CUSTOMER ACCOUNT AGREEMENT CONTAINS A PREDISPUTE ARBITRATION CLAUSE AND IN ACCORDANCE WITH THIS AGREEMENT I (WE) AGREE IN ADVANCE TO ARBITRATE ANY CONTROVERSIES WHICH MAY ARISE BETWEEN OR AMONG ME (US), MY BROKER, AND/OR CLEARING FIRM, (2) RECEIPT OF A COPY OF THE CUSTOMER ACCOUNT AGREEMENT FOLLOWING THIS APPLICATION AND MY (OUR) AGREEMENT WITH THE TERMS THEREIN AND (3) THE INFORMATION PROVIDED ABOVE IS ACCURATE. SIGNATURE DATE SIGNATURE OF JOINT APPLICANT DATE FOR JOINT ACCOUNTS BOTH PARTIES MUST SIGN FORM FOR OFFICE USE ONLY FIRST TRADE [IB] BRANCH MANAGER APPROVAL CUSTOMER I.D. VERIFIED (Must be completed) Yes [IB] REPRESENTATIVE SIGNATURE DATE OPENED FDID (If you would like to designate the FDID, please provide it here. Otherwise an ID will be assigned at account opening) CAT ACCOUNT TYPE (Selection Required) OATS ACCOUNT TYPE CAT ACCOUNT TYPES: A - Institutional Customer - An institutional account as defined in FINRA Rule 4512(c) E - Employee Account - An employee or associated person of your Broker-Dealer F - Foreign - A non-broker-dealer foreign affiliate or non-reporting Foreign Broker-Dealer I - Individual Customer - An account that does not meet the definition of FINRA Rule 4512(c) and is also not a proprietary account. O - Market Making - See CAT FAQ C5 V - Firm Agency Average Price Account P - Other Proprietary X - Error Account - Error account of the firm OATS ACCOUNT TYPES: A - Institutional Customer - An institutional account as defined in FINRA Rule 4512(c) C - Combined - An order representing more than one type of account E - Employee Account - An employee or associated person of your Broker-Dealer. I - Individual Customer - An account that does not meet the definition of FINRA Rule 4512(c) and is also not a proprietary account. O - Market Making P - Other Proprietary X - Error Account - Error account of the firm This Customer Account Agreement (the “Agreement”) sets forth the respective rights and obligations of Apex Clearing Corporation (“you” or “your” or “Apex”) and the Customer’s (as defined below) brokerage firm (the “Introducing Broker”), and the customer(s) identified on the New Account Application (the “Customer”) in connection with the Customer’s brokerage account with the Introducing Broker (“the Account”). The Customer hereby agrees as follows with respect to the Account, which the Customer has established with the Introducing Broker for the purchase, sale or carrying of securities or contracts relating thereto and/or the borrowing of funds, which transactions are cleared through you. To help the government fight the funding of terrorism and money laundering, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. In order to open an account, the Customer will provide information that will allow you to identify the Customer including, but not limited to, the Customer’s name, address, date of birth, and the Customer’s driver’s license or other identifying documents.
Appears in 1 contract
Samples: New Account Application & Agreement
