Standard Forms

As of January 1999, SIA stopped selling Standard Forms. The following forms, however, are available. In light of rapidly changing business and regulatory environments, current accuracy of these forms cannot be assured.

Form Number Title
119 Broker or Dealer Special Omnibus Account Agreement
135 Form X17F-A Missing/lost/Counterfeit Securities Report
150 Prime Brokerage Agreement - pdf
151 Agreement for Prime Brokerage Clearance Services - updated March 2006, pdf
151 (Comparison) Agreement for Prime Brokerage Clearance Services - This form is marked in red to show the revisions made to the previously posted 1994 version when updated in March 2006. See updated Form 151 above, pdf
  Certificate For The Purchase Of Initial Public Offerings Of Equity Securities Pursuant to NASD Rule 2790 & Informational Memo - February 2004
  Electronic Access and Trading Agreement & Information Memorandum
  Equity Repo Guidance
  Master Repurchase Agreement
  Master Securities Loan Agreement
  Section 16 Authorization Letter & Background Information