Brokerage Tax and Legal Forms / Applications
|
Description
|
Action
|
| 5304 Form (SIMPLE IRA) |
Establish a SIMPLE IRA plan |
Download PDF |
| Affidavit of Domicile |
Specify the legal residence of someone who is deceased |
Download PDF |
| Affidavit of Forgery |
To dispute personal bank or brokerage checks and ACH debits that appear as a check |
Download PDF |
| Affidavit of Full Force and Effect |
Notarized form to verify Power of Attorney is still in effect |
Download PDF |
| Affidavit of Unauthorized Transaction |
To dispute unauthorized ACH debits that appear as a check on the account |
Download PDF |
| Brokerage Account Link Request & Agreement |
Link separate E*TRADE Securities accounts to a single User ID |
Download PDF |
| Certificate of Sole Proprietorship |
Verify that you are the owner of a sole proprietorship |
Download PDF |
| Certificate Stop Release Letter |
Report a security that has been lost or stolen |
Download PDF |
| Corporate Resolution |
Specify who can transact on a business account |
Download PDF |
| Cost Basis Adjustment Form for Inherited Shares |
Use this form to specify cost basis step up and valuation method. |
Submit online / Download PDF |
| Designation of Beneficiary (IRA) |
Specify who will receive your IRA in the event of your death |
Submit online / Download PDF |
| Designation of Beneficiary (Qualified Plan) |
Specify who will receive your non-IRA retirement account in the event of your death |
View Beneficiaries / Download PDF |
| Duplicate Tax Records |
View duplicate 1099s and other tax forms |
View online |
| Fixed Income Cost Basis Election Form |
Make your Cost Basis Elections for all Fixed Income purchases made on or after January 1, 2014 |
Download PDF |
| Futures Account Discretionary Trading Authorization |
Instruct E*TRADE Securities to do business with your authorized agent |
Download PDF |
| Letter of Authorization and Indemnification for Options Trading – IRA |
Authorize E*TRADE Securities to accept instructions for options trades in your IRA |
Download PDF |
| Mark-to-Market Selection |
Set cost basis accounting method to Mark-to-Market |
Apply online |
| Non-US Entity Questionnaire |
Provide information on non-US foreign entity accounts |
Download PDF |
| One-and-the-Same Letter |
Deposit securities under a name other than your legal name |
Download PDF |
| Power of Attorney (with Provisions for Durable) |
Instruct E*TRADE Securities to do business with your authorized agent |
Download PDF |
| Power of Attorney for Line of Credit (with Provisions for Durable) |
Instruct Morgan Stanley Private Bank to do business with your authorized agent |
Download PDF |
| Restricted Security Research Request |
Release the restrictions on restricted stock |
Download PDF |
| Rule 144 Restricted Stock Packet |
Authorize removal of Rule 144 Restriction |
Download PDF |
| Rule 144(B)(1) Restricted Stock Packet |
Authorize removal of Rule 144(B)(1) Restriction |
Download PDF |
| Rule 145(D) Restricted Stock Packet |
Authorize removal of Rule 145(D) Restriction |
Download PDF |
| Rule 701 Restricted Stock Packet |
Authorize removal of Rule 701 Restriction |
Download PDF |
| Rule 904 Restricted Stock Packet |
Authorize removal of Rule 904 Restriction |
Download PDF |
| Special Registration of Stock Certificate |
Register securities in a name different than the brokerage account title |
Download PDF |
| Stock or Bond Power |
Deposit an unsigned stock or bond certificate |
Download PDF |
| Deposit a security that bears the name of a previous owner |
Deposit an unsigned stock or bond certificate |
Download PDF |
| Third Party Release |
Deposit a security that bears the name of a previous owner |
Download PDF |
| Transfer on Death Registration Request and Agreement |
Designate beneficiaries to receive your account in the event of your death |
Submit online / Download PDF / Submit via Docusign |
| W-8BEN Certificate of Foreign Status |
Establish that you are a non-U.S. person for federal income tax purposes |
Download PDF |
| Foreign Taxpayer Identification Number Certification |
Use this form when a non-us person who is the beneficial owner of the account does not have a foreign taxpayer identification number |
Download PDF |
| W-9 Request for Taxpayer ID |
Provide us your taxpayer identification number |
Submit online / Download PDF / Important Tax Notice |
| Worthless Securities Liquidation Request |
|
Online Form |
| Customer Verification Form |
Utilize this form along with your Proof of Identification to verify ownership of your account |
Download PDF |
| W-8BEN-E Certificate of Foreign Status (Entities) |
Establish that you are a non-U.S. entity for federal income tax purposes |
Submit online / Download PDF |
| Non-Resident Alien (NRA) Certification Statement |
For foreign accounts with U.S. address or phone number on record, or accounts requesting a tax withholding. |
Download PDF |
| Name Change Authorization Form |
Update your name on your E*TRADE or Morgan Stanley Private Bank account(s) due to marriage, divorce, or other reasons |
Submit online / Download PDF |
| Reg E Long Form |
How to report an error with your Reg E remittance transfer |
Download PDF |
| Beneficiary Verification Form |
Use this form to verify a beneficiary for an E*TRADE or Morgan Stanley Private Bank account that is converting assets and/or cash due to a deceased owner. The form is only used when assets being claimed are valued under $10,000.00 and claimant is providing non-certified copies of legal documentation. |
Submit online / Download PDF |
| Notify E*TRADE or Morgan Stanley Private Bank of a Death |
Notify E*TRADE or Morgan Stanley Private Bank of the death of an account holder |
Submit online / Download PDF |
| Profit Sharing Plan Documents |
The terms and conditions of your profit sharing plan |
Download PDF |
| Document Upload Cover Sheet |
Securely upload your identification documents |
Submit online |