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| Form | Date Updated |
| Certified Copy Certificate Required for Australian Individuals | April 11, 2011 |
| Certified Copy Required for Trusts, Partnerships, Associations, Registered Cooperatives & Government Bodies | April 11, 2011 |
| Documentation Required for Trust Applicants | February 5, 2009 |
| Non-US Residents | February 5, 2009 |
| Residents of China | July 18, 2012 |
| Residents of Japan | October 25, 2012 |
| US Residents | April 3, 2009 |
| Form | Date Updated |
| Advisor Clients | February 5, 2009 |
| Non-US Residents | February 5, 2009 |
| Organization Advisors | October 26, 2012 |
| US Residents | February 5, 2009 |
| Form | Date Updated |
| Certified Copy Certificate Required for Australian Partnerships, Associations, Registered Cooperatives, and Government Bodies | April 11, 2011 |
| Corporations, Partnership or Limited Liability Companies | November 8, 2012 |
| Unincorporated Businesses | February 23, 2009 |
| Japanese Corporations | October 25, 2012 |
| Form | Date Updated |
| Investment Managers Registered in the US | September 11, 2013 |
| Investment Managers Registered outside the US | September 11, 2013 |
| Investment Managers not Registered Anywhere | September 11, 2013 |
| Form | Date Updated |
| Brokers | November 8, 2012 |
| Futures Brokers | November 8, 2012 |
| Form | Date Updated |
| Residents of All Other Countries | August 9, 2006 |
| UK Residents | August 9, 2006 |
| Form | Date Updated |
| Residents of All Countries | August 9, 2006 |
| Form | Date Updated |
| Financial Advisor | August 9, 2006 |
| Form | Date Updated |
| Corporate Accounts - EU Credit or Financial Proprietary Trading Group | August 9, 2006 |
| Corporate Accounts - Non-EU Credit or Financial Proprietary Trading Group | August 9, 2006 |
| Corporate Accounts - Quoted Company | August 9, 2006 |
| Corporate Accounts - Private Company | August 9, 2006 |
| Partnership/Unincorporated Business Account | August 9, 2006 |
| Form | Date Updated |
| Additional Identification Information and Documentation: SIPP Administrator (master account) | August 31, 2009 |
| Additional Identification Information and Documentation: SIPP client | August 31, 2009 |
| Form | Date Updated |
| Investment Managers Registered outside the US | September 11, 2013 |
| Investment Managers not Registered Anywhere | September 11, 2013 |
| Form | Date Updated |
| Canadian Individuals | June 12, 2008 |
| Form | Date Updated |
| Canadian Advisors | April 2, 2004 |
| Form | Date Updated |
| Canadian Proprietary Trading Groups | June 12, 2008 |
| Form | Date Updated |
| Investment Managers Registered outside the US | September 11, 2013 |
| Investment Managers not Registered Anywhere | September 11, 2013 |
| Form | Date Updated |
| Individuals | October 17, 2012 |
| Form | Date Updated |
| Japanese Corporations | October 17, 2012 |