Supporting Documentation

All purchase and sales activity, or holdings, must be properly documented. As part of our claims administration process, we send written notices to claimants whose filings are deficient, either partially or completely, for these documents. If the documentation is not provided by set deadlines, we may need to reject these claims, partially or in full.

The information below indicates the documents that are acceptable to verify the transactions reflected on your claim:

Brokerage Documentation

  1. Confirmation slips.
  2. Monthly, quarterly and year-end statements.
  3. Form 1099.
  4. Letter from your broker on their letterhead.
  5. Printouts from the broker's internal record-retention system. This must be accompanied by a cover letter from the broker indicating the source of the data and stating that it is complete and accurate to the best of their knowledge.

Banking Documentation

  1. Monthly, quarterly and year-end statements.
  2. Printouts from the bank's internal record-retention system. This must be accompanied by a cover letter from the broker indicating the source of the data and stating that it is complete and accurate to the best of their knowledge.

Other

  1. Trade runs from financial institutions.
  2. Monthly, quarterly, semi-annually, year-end portfolio holding statements.