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TD Waterhouse Charitable Donation of Securities Form

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TD Waterhouse Charitable Donation of Securities in Kind

Client Transfer Services, 77 Bloor Street West, 6th Floor, Toronto, Ontario M4Y 1T2

Please complete this form for use as Authorization to facilitate a timely transfer. Transfer requests that do not contain the information requested herein may result in delayed deliveries. Please ensure a copy of any necessary supporting documentation is attached to your transfer request such as a Corporate Resolution with sample signatures for a corporate account, Powers of Attorney where the signing authority for an account differs from the client of record, etc.

Please transfer the following position:

Delivering Institution Information

Receiving Institution Information

For Internal Use Only

Additional Information:

Please include any additional Contact Information (if applicable).

Contributing Client Authorization:

RUSH - For Internal Use Only

Please fax a completed copy of this form to the Client Transfer Services department. The fax number can be found within the Charitable Donation procedures section of the Client Transfer Resource Centre.

Securities Transfer Client Disclosure

How long will my transfer take?

The time required to transfer your security(ies) will for the most part depend on the type of investment products you currently hold. Please note that all your assets may not all be transferred at exactly the same time.

Rejected Transfers:

A transfer request may be rejected by the Delivering Institution for a number of reasons, such as, insufficient funds to cover fees, account not in good standing, i.e. undermargin, short position(s), etc. If for any reason your transfer has been rejected by the Delivering Institution, they may return the transfer request to the Receiving Institution unprocessed. When the reason for the rejection has been rectified, the transfer process may begin again and the Delivering Institution may then have approximately 10 business days, from the date of receipt of the transfer documents to process the transfer.

Transfer Fees:

Most institutions charge a transfer out fee at which the cost varies. It is important to ensure that you have sufficient funds available in your account at the delivering institution to cover your transfer and administration fees, as the delivering institution may reject the transfer unprocessed, thus creating a lengthy delay.

Non-registered Accounts:

Under current IDA regulations, this type of transfer may take approximately 10 business days from the time of receipt by the Delivering Institution, if it is being delivered via the Automated Transfer Online Notification System (ATON). If the transfer is not being delivered via ATON, the length of time to complete the transfer could exceed 10 business days.

Mutual Funds:

Currently, mutual fund products take longer to fully transfer, and may result in a possible delay into the charitable organization's account, due to the requirement of re-registering the mutual fund at the Fund Company. On average mutual funds require 5 - 10 business days to transfer from the time the mutual fund power of attorney is received by the Receiving Institution.

Guaranteed Investment Certificates & Term Deposits:

Generally, a Guaranteed Investment Certificate (GIC) is not transferable IN-KIND (as is) prior to the maturity date. Most GIC's must be transferred IN-CASH upon their maturity. Please check the terms and conditions with the Institution which currently holds your investment. If your GIC matures in more than 6 months' time, please submit your transfer request one month prior to maturity.

Other Investment Products:

There are many other investment products which may be non-transferable, non-redeemable or subject to other delays. Some of these products include Mortgages, Foreign Securities, and Non-transferable Bonds (minimum denomination requirements).

TD Waterhouse Canada Inc.

TD Waterhouse Private Investment Counsel Inc.

TD Investment Services Inc.

Client Documentation Department

3500 Steeles Avenue East

Tower 2, 2nd Floor

Markham, ON L3R 0X1

The Canada Trust Company

Private Trust

Client Documentation Department

3500 Steeles Avenue East

Tower 2, 2nd Floor

Markham, ON L3R 0X1

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What the TD Waterhouse Charitable Donation of Securities Form Is

The TD Waterhouse Charitable Donation of Securities Form is a broker-mediated instruction used to transfer publicly traded securities from a donor's brokerage account into a qualified charity's account. It collects donor identification, broker account and DTC instructions, a description of the securities, number of shares or dollar amount, and donor authorization. Charities use the completed form to accept in-kind gifts, reconcile transfers, and issue tax acknowledgment letters. Electronic execution and delivery may be permitted under federal ESIGN rules (15 U.S.C. ch. 96) and state UETA frameworks where adopted.

Why this form matters for donors and charities

Completing the form correctly speeds transfers, preserves tax advantages tied to in-kind gifts, and prevents administrative delays. It documents donor intent and provides the information required for a charity to issue a timely donation acknowledgment for tax records.

Why this form matters for donors and charities

Typical users and roles

Each role has different responsibilities: the donor authorizes, advisors prepare, and the charity verifies receipt and issues acknowledgment.

  • Individual donors — People transferring appreciated publicly traded securities directly to a qualified charity.
  • Financial advisors — Professionals who prepare transfer instructions on behalf of clients.
  • Charity gift officers — Development staff who accept securities and coordinate brokerage receipt.

Step-by-step: completing and submitting the form

Follow these practical steps to prepare and deliver the donation instruction to your broker and the receiving charity.

  • 01
    Gather Details: Collect donor identity, account number, charity brokerage details, and security identifiers.
  • 02
    Complete Form: Enter donation specifics, transfer date, and signature per the fillable fields guidance.
  • 03
    Authorize Transfer: Sign the form and provide any broker authorizations required for DTC movement.
  • 04
    Confirm Receipt: Ask the charity to confirm receipt and request a written acknowledgment for tax purposes.

How the securities transfer normally flows

A typical transfer involves coordinated steps between donor, broker, and charity to move shares via DTC or broker-to-broker instructions.

  • Submit Instruction: Donor or advisor sends a completed form to the donor's broker and the charity's gift officer.
  • Broker Processes: Donor broker validates the account, verifies shares, and initiates a DTC transfer.
  • Receiving Broker: Charity's broker accepts the DTC deposit and posts shares to the charity account.
  • Acknowledgment: Charity issues a written acknowledgment stating the gift date and a description of securities received.

Recommended digital workflow settings for faster processing

Configure these workflow elements when automating form completion and e-delivery to minimize manual follow-up.

Field Configuration
Authentication Use email link plus SMS code for signer attribution and audit trail.
Delivery Method Send PDF via secure portal and copy charity gift officer by email.
DTC Instructions Include exact receiving broker DTC number and account reference in a dedicated field.
Notifications Enable automatic confirmations to donor and charity when transfer completes.

Technical and format requirements for electronic submission

Confirm the receiving charity accepts electronic submissions and retains an audit trail that satisfies ESIGN and any applicable state rules before using e-signatures.

  • File Formats: PDF, DOCX acceptable
  • Integrations: Salesforce, NetSuite, Google Workspace
  • Security: TLS and AES-256 encryption

Key security and compliance points to verify

Encryption: TLS 1.2/1.3; AES-256
Audit Trail: Timestamp, IP, action log
HIPAA: BAA required for PHI
ESIGN / UETA: Legal e-signature framework
SOC 2: SOC 2 Type II available
21 CFR: Supports FDA-regulated records

Timing considerations and typical processing windows

Keep these timing items in mind to ensure gifts post in the intended tax year and the charity can issue acknowledgments promptly.

Tax Year Cutoff:

Transfers must complete by December 31 to qualify for that tax year

Broker Processing Time:

Allow 3–10 business days for DTC transfers to settle

Charity Acknowledgment:

Request written acknowledgment after transfer posts for donor records

W-9 Provision:

Provide W-9 to charity upon request; no fixed deadline

Tax Filing:

Retain acknowledgment for IRS purposes when filing returns April 15

Key milestones from form completion to tax acknowledgment

A sequential milestone view helps track progress and highlight where to follow up if transfers stall.

01

Form Preparation

Complete donor, account, and security details accurately before submission.

02

Broker Initiation

Donor broker validates account and schedules the DTC transfer.

03

Clearing and Settlement

Receiving broker posts shares to charity account and confirms delivery.

04

Acknowledgment Issued

Charity sends a written donation receipt for donor tax records.

Common mistakes that delay or invalidate transfers

  • Entering an incorrect account number at the donor broker causes failed transfers and manual reconciliation delays.
  • Using an informal security description (no ticker or CUSIP) can prevent the receiving broker from matching a deposit.
  • Omitting the charity's correct DTC number or account reference leads to rejected or misposted transfers.
  • Failing to obtain a written acknowledgment leaves donors without substantiation needed for tax deductions.

Risks and potential penalties from errors

Tax Deduction Risk: Donor deduction may be disallowed
Backup Withholding: 24% if TIN missing or incorrect
Information Return Penalty: IRC §6721 penalties possible for incorrect filings
Transfer Rejection: Failed DTC moves delay gift completion
Recordkeeping Failure: Inadequate records hinder audits
Operational Delay: Processing errors increase administrative costs

How electronic and paper delivery compare for this form

Comparing electronic delivery to paper submissions highlights trade-offs in speed, traceability, and storage.

Criteria Electronic Paper
Legal Validity valid under esign/ueta valid when signed
Processing Time typically faster typically slower
Audit Trail detailed metadata minimal metadata
Notarization possible via ron in-person available

Representative eSignature vendor comparison for form e-submission

Pricing and core capabilities vary by vendor; signNow is listed first per comparison guidance and includes lower entry pricing for basic e-sign workflows.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial 7-day free trial Varies by vendor Varies by vendor Varies by vendor Varies by vendor
Bulk Send Yes Yes Yes Yes No
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes Yes Yes No No

Signature authority and who can sign

Donor — Individual

The donor named on the brokerage account or authorized signatory must sign. If an agent signs under power of attorney, include valid POA documentation and follow broker acceptance rules.

Charity Representative — Officer

A charity's authorized officer or gift processing agent should confirm receipt and sign any acceptance acknowledgment; internal delegation policies determine who may sign.

Real-world examples of how the form is used

These short scenarios illustrate typical donor and charity interactions when transferring securities as gifts.

Community Foundation Gift

A donor instructs a transfer of 100 shares of a publicly traded stock to a community foundation

  • Gift posted via DTC within one week
  • The foundation issued a written acknowledgment with gift date and security description for tax records.

Advisor-Led Donation

A financial advisor completes the form for a client, including exact CUSIP and account details

  • Broker initiates transfer on specified date
  • Charity reconciles deposit and provides substantiation for client tax filing.

Best practices to avoid delays and ensure tax substantiation

Adopt these practical steps to reduce processing friction and preserve donor tax benefits.

Verify Account and DTC Details
Confirm the charity's broker name, DTC number, and account reference directly with the charity to prevent misdirected transfers and lengthy reconciliations.
Provide Clear Security Identifiers
Use ticker symbols and CUSIP numbers where possible; ambiguous security descriptions frequently cause receiving brokers to flag or reject deposits.
Obtain Written Acknowledgment
Request a dated, written acknowledgement from the charity that describes the securities and states no goods or services were provided in exchange.
Retain Complete Records
Keep the completed form, broker confirmations, and the charity's acknowledgment for the recommended retention period to support any future tax or audit inquiries.

Core elements included in a professional donation form

A complete form clearly documents the donor, the securities being transferred, authorization, and broker routing details to minimize processing errors.

Donor Identification

Full legal name, tax identification number, and contact information to support identity verification and any required IRS reporting or backup withholding checks.

Broker Account Details

Donor brokerage account number, broker name, and broker contact information so the donor's broker can validate authority before initiating a DTC transfer.

Security Identifiers

Ticker symbol, CUSIP, number of shares or dollar value, and class of security to ensure receiving broker posts the correct instrument.

Receiving Account Info

Charity's broker name, DTC number, and receiving account reference to route the transfer accurately without manual intervention.

Authorization Language

Clear donor signature block and printed name, plus any required corporate approval or power-of-attorney documentation for agent signers.

Tax Acknowledgment Field

Space for the charity to enter gift date, transferred amount or share count, and a statement suitable for donor tax substantiation.

Document features that support reliable e-submission

Ensure the form includes specific fields and metadata that digital platforms can use to automate validation and preserve evidentiary trails.

Structured Fields

Discrete fields for account numbers, DTC numbers, and security identifiers enable automated validation and reduce manual transcription errors during electronic intake.

Signature Metadata

Capture signer email, timestamp, IP address, and authentication method so the executed file contains an auditable record compliant with ESIGN/UETA.

Attachment Capability

Allow attaching broker confirmations, POA documents, or charity acceptance letters to the record to maintain complete documentation for audits.

Clear Consent Language

Include explicit consent for electronic records where required by consumer disclosure rules to ensure the e-signed form is legally effective.

FAQs and troubleshooting for common issues

Answers to frequent questions about processing, tax substantiation, electronic acceptance, and what to do if a transfer fails.


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