Document Category	Acceptable Documents (only one document per category is needed)
Proof of the firm's existence The document must clearly state the name of your firm.	Articles of Incorporation; Company Charter; Partnership Agreement; Government-issued business license; Government-issued Certificate of Good Standing from the Jurisdiction of Incorporation.
Proof of your firm's address The document must clearly list the customer name and the address being verified.	Mortgage Statement, Deed or Other Evidence of Property; Current Lease; Utility Bill (less than 12 months old); Current Driver’s License But if you used driver’s license as proof of identity, then we are required to obtain a second, different document for proof of address (i.e., driver’s license cannot be used again); Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank on Bank Letterhead Confirming Address Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org); Statement must be less than 12 months old; Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer Customer must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org); Statement must be less than 12 months old; Current Homeowner’s or Renter’s Policy Documents or Riders Policy must be currently in effect; Bill for Homeowner’s or Renter’s Insurance Policy (less than 12 months old); Security System Bill/Statement (less than 12 months old); Government-Issued Letters or Statements Establishing Current Address (less than 12 months old). For example:: Tax Letters and notices; Letters or notices from government housing authorities; Jury duty notices; Voter registration notices; Other official government letters or notices showing customer name and address being verified.
Proof of your firm's tax or other government-issued identification number	U.S. or Other Government Tax Form· Financial Statement; Other Government-issued Document.
Financial Statements	The firm's most recent audited financial statement. If your firm is not required to have audited financial statements, you may provide unaudited statements.
Regulatory Financial Reports	If you are a U.S. broker, the firm's FOCUS report for each of the past 12 months; If you are a non-U.S. broker, other required monthly financial reports. If you are a non-U.S. broker and you are not required to file monthly financial reports, provide a statement to this effect on firm letterhead signed by an officer of the company.
Firm Disciplinary History	A copy of the disciplinary history of the firm and its officers, including any enforcement actions, disciplinary proceedings or other regulatory actions, proceedings or settlements involving the firm and its officers; If the firm has no disciplinary history, you may provide a signed statement on the firm's letterhead and signed by an officer of the firm stating that neither the firm nor its officers have ever been subject to any disciplinary history or enforcement proceeding of any kind.
Proof of the identity of each individual or entity that is a 10% Owner	If the owner is an individual, a copy of the person's passport, driver's license, national identity card or alien identification card; If the owner is an entity, the entity's articles of incorporation company charter, partnership agreement, government-issued business license or government-issued certificate of good standing.
Proof of the address of each 10% Owner	Mortgage Statement, Deed or Other Evidence of Property; Current Lease; Utility Bill (less than 12 months old); Current Driver’s License But if you used driver’s license as proof of identity, then we are required to obtain a second, different document for proof of address (i.e., driver’s license cannot be used again); Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank on Bank Letterhead Confirming Address Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org); Statement must be less than 12 months old; Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer Customer must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org); Statement must be less than 12 months old; Current Homeowner’s or Renter’s Policy Documents or Riders Policy must be currently in effect; Bill for Homeowner’s or Renter’s Insurance Policy (less than 12 months old); Security System Bill/Statement (less than 12 months old); or Government-Issued Letters or Statements Establishing Current Address (less than 12 months old). For example: Tax Letters and notices; Letters or notices from government housing authorities; Jury duty notices; Voter registration notices; Other official government letters or notices showing customer name and address being verified.