Please review the list below to locate the form or application that is needed for certain specific requests and/or account or trader profile updates.
Although many traders already have the Adobe Acrobat PDF reading software which comes pre-installed on many computers, if you don't already have this software, you'll need to download and install the latest version of Adobe Acrobat Reader. If you do not have Adobe Acrobat, you can Download Adobe Acrobat Reader now.
If you have already installed the Adobe Acrobat Reader, you can click on the link to view/print the form, or you can right click on the link to download.
(for copies of the New Account Packages by account type, please go here)
Commonly Requested Forms & Applications:
Remote Trading Application - Click to access the online form.
Used to apply for a remote trading account with Assent, including demo accounts.
Market Data Entitlement Request Form for Customer Traders - Click to download the form. 
Although this form is included in the New Accounts packages, you'll also need to execute an updated copy of this form should you wish to request new market data entitlements.
eSignal Account Application - Click to access the online form.
Used to request an eSignal User ID for activation of the eSignal charting software.
Trade the News Subscriber Request - Click to access the online form.
Used to subscribe to the Trade the News service.
Customer Account Disbursement Request Form - Click to download the form.
Used to request authorized disbursements from customer accounts.
(Limited) Trading Authorization Form - Click to download the form.
Generally, this form gives a designated person the power to place orders in an account and/or to make inquiries concerning the account, such as obtaining account balances, but not to request disbursements.
Change of Address Form
There is no set form, per se to alert us to a change in your mailing address. However, it's extremely important that we have your most current mailing address so that we may direct important communications to you, such as tax reports, etc. PLEASE PROMPTLY CONVEY INSTRUCTIONS CONCERNING YOUR NEW ADDDRESS, IN WRITING, TO YOUR BRANCH OFFICE MANAGER. If you're a proprietary trader and your address has changed, you MUST be sure that your Branch Office Manager pursues the filing of an amendment via the CRD System.
FORMS FOR PROPRIETARY TRADERS
Proprietary Trader Distribution Request Form - Click to download the form.
Used to request authorized distributions from proprietary trading accounts.
Market Data Entitlement Request Form for Proprietary Traders - Click to download the form.
Although this form is included in the New Accounts packages, you'll also need to execute an updated copy of this form should you wish to request new market data entitlements.
Outside Business Disclosure Form - Click to download the form.
Used by proprietary traders to disclose outside business activity, please check with your Branch Office Manager and/or the Assent Registration Dept. to determine which situations require such disclosure.
Outside Business Supplemental Form - Click to download the form.
Similar to the above form, except this form would be used when a trader receives financial compensation associated with the "outside business activity" or where a trader must be "registered" in order to participate in such an outside business activity.
OTHER FORMS
Please contact your Branch Office Manager to obtain these forms.
Instant Messaging {"IM"} User Agreement
This agreement must be executed before Assent will activate access for a specified Associate or proprietary trader to the Instant Messaging platforms. The requirement to execute this agreement extends to any trader (including customers as well as proprietary traders) who trades at an Assent location. If you are a customer who is trading at an Assent location and who wishes to be considered for access to IM protocol, you will need to submit a customer version of this agreement.
Automated Trading Approval Form
This form is used by those interested in opening an automated trading account, and/or by those existing account holders who subsequent to opening their account, newly wish to establish such an account. This form requires the user/ operator to attest to certain legal/compliance provisions and confirm that they have built in certain controls as well as agreeing to alert us to significant changes they wish to make to their programs.
Penny Stocks Approval to Trade Form
This form must be executed in order to have approval to trade stocks that are classified as "penny stocks". The form is executed with the Assent Order Desk whom you may contact with any questions about the form or the process of obtaining approval.
Journal Request Form
This form, which can only be used in certain circumstances, is designed to document and process official requests to journal funds from one account to another. The accounts involved must be under the same ownership/control in order for the requests to move funds to be authorized.
Abandoned Property Documentation Form
This form is used by Assent to document the unclaimed assets in a long dormant account.
Worthless Securities Form
This form is used by Assent to document the closing of a dormant account which contains one or more "worthless securities"
All account - related service requests and/or inquiries should be routed through your Branch Office Manager, including those common requests listed above. Your Branch Office Manager will review the form, document his/her approval of the request (if so required) and forward on Assent’s main office for handling and follow up.
