Forms and Disclosures

Individual Accounts

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

Advisor Accounts

Form	Date Updated
Advisor Clients	February 5, 2009
Non-US Residents	February 5, 2009
Organization Advisors	October 26, 2012
US Residents	February 5, 2009

Proprietary Trading Group Accounts

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

Hedge and Mutual Funds

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

Broker Accounts

Form	Date Updated
Brokers	November 8, 2012
Futures Brokers	November 8, 2012

Individual Accounts

Form	Date Updated
Residents of All Other Countries	August 9, 2006
UK Residents	August 9, 2006

Joint Accounts

Form	Date Updated
Residents of All Countries	August 9, 2006

Financial Advisor Accounts

Form	Date Updated
Financial Advisor	August 9, 2006

Proprietary Trading Group Accounts

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

SIPP Accounts

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

Hedge and Mutual Funds

Form	Date Updated
Investment Managers Registered outside the US	September 11, 2013
Investment Managers not Registered Anywhere	September 11, 2013

Individual Accounts

Form	Date Updated
Canadian Individuals	June 12, 2008

Advisor Accounts

Form	Date Updated
Canadian Advisors	April 2, 2004

Proprietary Trading Group Accounts

Form	Date Updated
Canadian Proprietary Trading Groups	June 12, 2008

Hedge and Mutual Funds

Form	Date Updated
Investment Managers Registered outside the US	September 11, 2013
Investment Managers not Registered Anywhere	September 11, 2013

Individual Accounts

Form	Date Updated
Individuals	October 17, 2012

Proprietary Trading Group Accounts

Form	Date Updated
Japanese Corporations	October 17, 2012