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Documents and Forms

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With National Bank Direct Brokerage, you have the possibility to trade whenever you want, wherever you are. In this section, we have listed all the forms you need in order to personalise your experience with us. Whether you want to open an account, transfer assets or designate a beneficiary, you will find the necessary form here.

To download a form, simply click on it. Note that all forms are in PDF format therefore you need the free Adobe ®Acrobat ®Reader software

If you have any questions or cannot download or print a form, please contact our Investor Services.

Personal accounts

Brokerage Account Application Form for Self-Directed Cash or Margin Account 17230
Brokerage Account Application Form for Self-Directed Retirement Savings Plan (RRSP) or Retirement Income Fund (RRIF) 19554 and 172301
Brokerage Account Application Form for Tax-Free Savings Account (TFSA) 26473 and 172301
Brokerage Account Application Form for Self-Directed Education Savings Plan (RESP) - Single or family plans 19555 and 172301 and SDEs 00932
Additional Terms and Conditions – U.S. Dollar registered accounts 29170
Brokerage Account Application Form for Self-Directed Disability Savings Plan (RDSP) 29592, 172301 and EMP56083
CRS-FATCA Self-Certification 31038

1 Form 17230 is mandatory for all account opening (new client or current client who adds an account).
2 Basic form SDE 0093 and relevant annexes must be completed (see section Registered Education Savings Plan hereunder).
3 The EMP5608 form and the annexes applicable to your situation must be completed (see the Registered Disability Savings Plan section below).

Special accounts

If you wish to open a special account, please contact our Investor Services for assistance.

Brokerage Account Application Form - Special Accounts 17442
Treaty Statement 16402
Declaration of Transmission by Death 10010
Verification of Identity 19447
Guarantee 13621
CRS-FATCA self-certification for legal entities 29666
Certificate of Foreign Status of Beneficial Owner-Entities (Instructions available here) W8-BEN E
Certificate of Foreign Status of Beneficial Owner-Individuals W8-BEN
Certificate of Foreign Intermediary for United States Tax Withholding (Instructions available here) W8-IMY
Withholding Statement 19291
Identification Form 27277
Declaration of Eligibility Individual, Corporation or Trust 28855

Registered Education Savings Plan (RESP)

RESP – Beneficiary designation

RESP Transfer between Brokers
Also fill out form TP-1029.8.IQ-V  to transfer the Quebec education savings incentive 
SDE 0088
RESP Transfer between Brokers: Québec Education Savings Incentive TP-1029.8.IQ-V
Basic and Additional Canada Education Savings Grant and Canada Learning Bond SDE 0093
ANNEX A – Additional Beneficiaries SDE 0093-A
ANNEX B – Primary Caregiver and/or Custodial Parent/Legal Guardian
To be completed if the parent receiving the Universal Child Care benefits is not the primary account holder
SDE 0093-B
ANNEX C - Saskatchewan Advantage Grant for Education Savings SDE 0093-C
ANNEX D - British Columbia Training and Education Savings Grant  SDE 0093-D 

Registered Disability Savings Plan (RDSP)

Canada Disability Savings Grant and/or Canada Disability Savings Bond

Annex A – Joint Holder EMP5609
Annex B – Primary Caregiver EMP5610
Registered Disability Savings Plan (RDSP) Transfer (Both forms below are required)
Registered Disability Savings Plan (RDSP) Transfer
Holder Consent to a Registered Disability Savings Plan (RDSP) Transfer



Transfer Authorization for Non Registered Account
(Cash or margin account)
Transfer Authorization for Registered Account
Complete our easy-to-use online Authorization for the Transfer of Registered Investments (T2033) Form
Only transfers between same types of account(s) can be requested using our online T2033 form
Online T2033
LIRA, Locked-in RSP Directly from Employer T2151

4 Transfer form must be used for transfers to National Bank Direct Brokerage only.


Options Trading Request 30293
Declaration of Transmission by Death 10010
Designation and Change of Beneficiary 12724
Trading Authorization or Power of Attorney 13768
LIF Compliance Declarations 15179
Accounts Used By or For the Benefit of a Third Party 17333
Regulation Respecting Communication with Beneficial Owners of Securities of a Reporting Issuer 18046
Notion of Spousal Contributor To Be Removed from RRSP/RRIF 18731
Verification of Identity 19447
Security Donation at National Bank Direct Brokerage 25035
Transfer of Securities to a Third Part 26445
Electronic Funds Transfer 27058
Book Value Adjustment 27740
Request to Revoke Agent 28066
Delegation of Powers 28345
Declaration of Eligibility Individual, Corporation or Trust 28855
Designation of a Registered Disability Savings Plan as a Specified Disability Savings Plan (SDSP)
Request for Identification Number and Certification – required for US resident and/or US citizen (IRS) W-9
Model Letter for Money Transfer or Donation of Non-Publicly Traded Securities 27632
Information on the Agent
To be completed if you submit a notarized Power of Attorney 
CRS-FATCA Self-Certification 31038

Questions and comments