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Letter 407 2026
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- Click ‘Get Form’ to open the letter 407 in the editor.
- In Part 1, enter the Account Owner's Name (Printed) and provide your signature confirming your employer's status as a FINRA or Exchange Member Firm. Don't forget to include the date.
- Move to Part 2, where the Compliance Officer will fill out their details. Ensure they enter the Employee's Name, Employer's Name, Address, State, City, Zip Code, and Phone Number accurately.
- The Compliance Officer must also indicate whether duplicate monthly statements and/or trade confirmations are requested by selecting 'Yes' or 'No'.
- Finally, have the Compliance Officer print their name and provide their signature along with the date before submitting.
- Once complete, email this form to accounts@tastyworks.com for processing.
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407 letter sample
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