Mutual Fund Service Forms

  • Application for Account Services

    Form used to establish or change account options for existing retail accounts, i.e. automatic investment plan, automatic dividend diversification, automated dollar cost averaging, systematic withdrawal plan and telephone withdrawal options.

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  • Additional Investment Form

    Form used to make additional investments into an existing mutual fund account.

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  • Automatic Investment Plan Application

    Form used to establish or change account options for existing retail accounts, i.e. automatic investment plan, automatic dividend diversification, automated dollar cost averaging, systematic withdrawal plan and telephone withdrawal options.

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  • Certificate of Authorization

    Form used by all non-individual entities (except trusts) to authorize a transfer or redemption from an account. (Must accompany any application to open a non-individual entity account.)

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  • Certificate of Incumbency

    Form used to verify the name(s) of trustee(s) authorized to act on an individual trust.

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  • Checkwriting Signature Card - General (Class A and Z shares)

    Form used to add or modify check signers on a mutual fund account.

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  • Cost Basis Election Form

    Form used to elect or update your cost basis method. (You must complete a separate cost basis election form for each type of non-retirement account registration for which you are the account owner.)

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  • Dealer Change Form

    Form used to change the dealer firm and/or financial advisor on a shareholder's account.

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  • Duplicate Year End Statement and Tax Form Request

    Request Form used to request copies of historical annual account statements and tax forms.

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  • Name Change Authorization Form

    Form used to update name on an account.

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  • Redemption Request Form

    Form used to request a redemption from your account.

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  • Transfer on Death Registration Request Form

    Form used to stipulate how a mutual fund account will be administered after the shareholder's death.

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  • Transfer of Ownership Request Form

    Form used to change, add or delete the name(s) on your account, or to change the ownership of your account. (Must be accompanied by a new account application.

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  • Trustee Certification Form

    Form used to register a trustee(s) of a new account or change trustee information in an existing account. (Must be accompanied by any new account application requesting a trust registration.)

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  • Speech Recognition and Touch Tone User's Guide

    User guide to Customer Connection, our automated phone system that allows you virtually 24-hour access to your account.

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  • W-8 Form

    Form used to determine non-resident alien (NRA) tax status for foreign citizens investing in U.S. securities, including mutual funds.

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  • W-9 Form

    Form used by U.S. citizens and resident aliens to certify their Social Security number or taxpayer identification number (TIN) on an existing account.

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