| Financial Questionnaire and Report |
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| "Bare Trustee" Custodial Agreement (Schedule A to MR-0058) |
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| Other Custodial Agreements: |
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- Non-Certified Debt Instrument
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- Member/Custodian Agreement
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| Agent's Agreement (MFDA Notice MR-0011) |
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- Certificate Regarding Agent's Agreement between Members and Approved Persons
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- Counsel's Opinion Regarding Agent's Agreement between Members and Approved Persons
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| Agreement for Access to Books and Records (MFDA Notice MR-0002) |
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| Certificate of Partners or Directors (Financial Questionnaire and Report) |
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| Client Complaint Information (MFDA Notice MR-0020) |
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| Confirmation of Completion of New Registrant Training and Supervision Program (MFDA Policy No. 1) |
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| Limited Trading Authorization (MFDA Notice MR-0038) |
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| MFDA Investor Protection Plan Brochure (MFDA Bulletin #0175-M) |
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| MFDA Membership Application Package (complete) |
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| Membership Application Guide |
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- Schedule A - Member Fee Guidelines
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- Schedule B - Registration Information
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- Schedule C - Capital Requirements
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- Schedule D - Branch & Sub-Branch Locations
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- Schedule E - Qualification of Individuals
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- Schedule F - Trade Names of Approved Persons
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- Schedule G - Agreement of Approved Person
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- Schedule H - Auditor Requirements
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- Schedule I - Uniform Subordinated Loan Agreement
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- Override Acknowledgement for MFDA Uniform Subordinated Loan Agreement (Schedule B)
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- Schedule J - Undertaking Regarding Retractable Preferred Shares
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- Schedule K - Policies and Procedures Manual
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| MFDA Application Checklist |
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| MFDA Membership Application Form |
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| Policies and Procedures Manual Reference Guide (MFDA Bulletin #0395-C) |
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| Sample New Account Application Form (MFDA Policy No. 2) |
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Undertaking Preferred Shares (MFDA Notice MR-0013)
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| Uniform Guarantee by Members and Related Members (MFDA Notice MR-0050) |
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