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Overview

Related Information/Setup

Navigation

Creating a New Trading Account

Overview

Before a user can create a new trading request, they must create a new trading account and get it approved by a Compliance Officer. A trading account is an account that contains cash or securities, which are used to buy and sell assets.

Related Information/Setup

Please see the Creating a New Trading Request article for more information on sending a trading request to a Compliance Officer.

Navigation

1. From the Home screen, click the Home dropdown menu.

Home Menu

2. Click the Employee Portal link.

Employee Portal Link

3. From the Personal Trading screen, click the + New Trading Account button.

+ New Trading Account Button

Creating a New Trading Account

1. From the New Trading Account screen, enter the following information:
   • Brokerage Firm: Enter the brokerage firm. The brokerage firm will appear in the Brokerage Firm field after selecting one of the following options:
     • Add Existing Brokerage Firm: Click the Add Existing Brokerage Firm link to select an existing brokerage firm from the Add Existing Brokerage Firm pop-up.
     • + Create New: Click the + Create New link to create a new brokerage firm on the Create a New Brokerage Firm pop-up.

Brokerage Firm Links

2. (Optional) Click the x next to the brokerage firm to remove the brokerage firm from the request.

X Icon

3. Enter a Brokerage Account Number for the selected brokerage firm in the Brokerage Account Number field. The brokerage account number is a six-digit numerical number.

Brokerage Account Number Field

4. Enter an Account Owner's Name in the Account Owner field. An account owner is the name of the person who owns the account, and the employee is trading on their behalf.

Account Owner Field

5. Indicate the user's relationship to the account owner by selecting an option from the Connected Party/Relationship dropdown menu:
   • Self: The employee is trading on behalf of themselves.
   • Spouse/Partner: The employee is trading on behalf of a spouse or partner.
   • Child: The employee is trading on behalf of a child.
   • Parent: The employee is trading on behalf of a parent.
   • Sibling: The employee is trading on behalf of a sibling.
   • Household Member: The employee trades on behalf of a household member they live with.
   • Self-joint: A self-joint option is a portfolio that is shared between the account owner and the employee trading.
   • Trustee: The employee manages assets for a third party.
   • Family Trust: The employee has the authority to trade or create contracts with third parties on behalf of the account holder.
   • Other: The employee is trading on behalf of another not currently listed as an option.

Connect Party/Relationship Dropdown Menu

6. Click the Submit for Review button to submit the request to a Compliance Officer.

Submit for Review Button

7. The Compliance Officer will receive notification that a new Trading Account request requires them to review the form. The Employee will receive a notification if the Trading Account request was approved, the Compliance Officer requested more information, or the request was denied.