Investor Resource Center

Investor Forms

Document Name	Instructions
Certification Regarding Beneficial Owners of Legal Entity Customers	Required for certain institutions to obtain, verify and record information about beneficial owners. This form must be completed by the person opening the new account on behalf of a legal entity.
New Individual, Joint or Custodial Account	Use this form to open an individual, custodial or joint tenant non-retirement mutual fund account.
New Trust / Estate / Corporate Accounts	Use this form to open an account for a trust, estate, corporation, partnership or qualified retirement plan (not for your personal IRA).
Trusted Contact Form	Use this form to add a trusted person that we can contact in the event that we cannot reach you regarding your account.
Change of Address	Use this form to update the address on your account(s).
Designation of Beneficiary (Non-Retirement)	Use this form to add TOD (Transfer on Death) beneficiaries to your non-retirement account. (Not available on Custodial accounts).
Bank Account Authorization	Use this form to establish Automatic Clearing House (ACH) status for your account. ACH allows you to electronically link your bank and mutual fund accounts. This form must be completed if you intend to request a purchase of shares via the Internet.
Checkwriting Privileges	Use this form to establish checkwriting privileges on your money market fund(s) (Not available on Retirement accounts).
Cost Basis Election	Use this form to update the cost basis election on your taxable account(s).
Change of Name	Use this form to update the name on your account(s).
Non-Prototype Retirement Plan Request For Distribution	Use this form to request a distribution from your non prototype retirement plan.
Non-Retirement Request for Distribution	Use this form to request a distribution from your non-retirement account.
Transfer of Account Registration	Use this form to re-register/transfer some or all of your shares into another account (existing or new). This form cannot be used for Retirement accounts.
Automatic Investment	Use this form to establish automatic investments on your account, including purchases and redemptions. This form may also be used to establish dollar cost averaging (DCA).
W-9	This form is used to request a taxpayer identification number and certification. Clicking on the W-9 link above will bring you to the IRS web site.
W-8BEN	This form certifies the foreign status of beneficial owner for U.S. tax withholding. Clicking on the W-8 link above will bring you to the IRS web site.
Non-Prototype Qualified Retirement Plan Application	Use this application to open or add a new participant to a non-prototype qualified retirement plan.

Document Name	Instructions
New IRA Account	Use this form to open a IRA account. Before opening an IRA account, please download and read the IRA Disclosure Statement and Custodial Agreement.
New ROTH IRA Account	Use this form to open a ROTH IRA account. Before opening a ROTH IRA account, please download and read the ROTH IRA Disclosure Statement and Custodial Agreement. Please Note: We strongly advise you to consult your tax advisor before you choose to make a ROTH IRA investment.
IRA Transfer of Assets	Use this form to transfer an IRA from another institution to Neuberger.
Inherited IRA Account	Use this form to set up an inherited IRA account. Before opening an Inherited IRA, please download and read the Inherited IRA Disclosure Statement and Custodial Agreement.
Roth IRA Conversion	Use this form to convert an IRA to a ROTH IRA. This form must be accompanied by a ROTH IRA Application, unless you currently have a ROTH IRA established with Neuberger.
Retirement Plan and 403(b) Custodial Account Transfer of Assets Form	Use this form to request a transfer of assets from an existing Qualified Retirement Plan or 403(b) Custodial Account.
Qualified Retirement Plan Application	Use this form to establish a Neuberger Prototype Qualified Retirement Plan Account. This form is used for Money Purchase, Profit Sharing and 401(k) Plans.
New SIMPLE Retirement Plan Account	Use this form to establish a SIMPLE IRA account. Employers who are establishing SIMPLE Plans must complete a SIMPLE Plan Adoption Agreement in addition to executing this application. Before opening a SIMPLE IRA account, please download and read the SIMPLE IRA Disclosure Statement and Custodial Agreement.
Designation of Beneficiary - IRA	This form should be used to designate or change the beneficiary of your IRA, ROTH IRA, SEP-IRA or SIMPLE Retirement Plan. For residents of Community Property states, you must designate your spouse as the sole primary beneficiary. If anyone else is designated and you are married at the time of your death, your surviving spouse MUST consent to your designation prior to payment.
Designation of Beneficiary - Qualified Plan	This form should be used to designate or change the beneficiary of your Keogh, HR-10, Profit Sharing or Money Purchase Pension Plan. If you are married, federal law REQUIRES that you designate your spouse as the sole primary beneficiary. If you designate anyone other than your spouse, your spouse must give notarized consent to your designation. A space for this consent is provided on the back of the Form.
IRA/ROTH IRA Request For Distribution	Use this Form to request a distribution from your IRA or Roth IRA.
Qualified Retirement Plans Request for Distribution	Use this form to request distributions from your Profit Sharing, Money Purchase, 403(b) or 401(k) plans. Be sure to obtain the Employer signature at the bottom of the form to authorize this withdrawal. Please read Special Tax Notice Regarding Plan Payments.
IRA Systematic Withdrawal	Use this form to receive regular payments from your IRA.
Qualified Retirement Plan Systematic Withdrawal	Use this form to receive regular payments from your qualified retirement plan.
IRA Rollover	If you are or were a participant in an employer sponsored qualified retirement plan such as a profit sharing, pension or 401(k) plan, you may be eligible to roll over your plan assets to an IRA.

Document Name	Instructions
Coverdell Education Savings Account Instructions	Before opening a new or transferring an existing Coverdell account, please download and read this document.
Coverdell Education Savings Account Disclosure Statement and Custodial Agreement	Before opening a new or transferring an existing Coverdell account, please download and read this document.
Coverdell Education Savings Account Application	Use this form to open a new Coverdell Education Savings Account.
Coverdell Education Savings Account Transfer Form	Use this form to transfer an existing Coverdell Education Savings Account. You must also fill out a Coverdell Education Savings Account Application. Please sign and return both forms to the address provided.
Certification of Special Needs Student	This form should be filled out for anyone who qualifies as a Special Needs Student. Please see the Coverdell Education Savings Account Instructions for more details.

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