I worked in the United States between the 1st of January 2023 and April 15th 2023. In addition to salary I had some RSUs and my company would sell some of the RSUs to cover tax obligations. The broker that kept the RSUs didn't allow me to file a W8BEN so they have a W9 on file which led to me getting a 1099B.

As far as I understand that sale of stock is still not effectively connected & as I have stayed in the US less than < 183 days the capital gains(loss in this case) is exempt from the United States even if I had a tax home in the United States between the 1st of January 2023 and April 15th 2023.

What does one do when they have a 1099B that they shouldn't have as the broker had W9 on file instead of a W8BEN?

  • 1
    Why did you file W9? What does it mean "didn't allow me to file a W8BEN"? That's not really up to them what your status is.
    – littleadv
    Aug 6, 2023 at 0:07
  • This was ShareWorks Solium for RSUs. Company/Morgan Stanley had some policy that didn't allow the platform to have a W8BEN on file for someone present in the States. In addition to RSUs I was getting Options and I think they wanted to track my time spent in America for the options. After leaving I tried changing it but to no luck.
    – ggy
    Aug 6, 2023 at 9:18
  • You should not have reported w9. Plain and simple. Whatever policy they have means nothing to your status. Regardless, file your tax return and report everything correctly and if IRS comes asking questions refer them to that policy.
    – littleadv
    Aug 6, 2023 at 9:23
  • Can you tell what "Correctly" means here? Would this go in the schedule NEC?
    – ggy
    Aug 6, 2023 at 11:17
  • How many days were you present in the US in 2021 and 2022, respectively?
    – user102008
    Aug 6, 2023 at 15:08


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