Forms

• SERT-DWAC-Transfer-Instruction-Form
• SERT – Instruction Form-New Stock
• SERT-Seller’s Representation Letter (6 Months) fillable
• SERT-Seller’s Representation Letter (1 year) fillable
• SERT-Stock Power [3347]
• SERT – Transfer Instruction Form
• IRS Form W-9
• SEC Form ID Application
• SEC Form 3 – Initial Statement of Beneficial Ownership of Securities
• SEC Form 4 – Statement of Changes in Beneficial Ownership

Resources and Links

• Securities and Exchange Commission http://www.sec.gov
• SEC Company Search http://www.sec.gov/edgar/searchedgar/companysearch.html
• SEC Rule 144: Selling Restricted & Control Securities
  • http://www.sec.gov/investor/pubs/rule144.htm
• Over-the-Counter Bulletin Board http://otcbb.com
• OTC Markets http://www.otcmarkets.com
• Yahoo Finance http://finance.yahoo.com
• MSN Money http://money.msn.com
• The New York Stock Exchange http://www.nyse.com
• FINRA Web Site http://www.finra.org/index.htm
• Broker Check (by FINRA) – https://brokercheck.finra.org/
• Adobe Reader http://get.adobe.com/reader/