The Broker Dealer Contract serves as the foundational agreement between licensed securities professionals and their clients. It is essential for compliance with US federal and state securities laws, including the Securities Exchange Act of 1934 and associated regulations. This contract establishes the framework for executing trades, maintaining accounts, managing assets, and ensuring regulatory compliance. It includes crucial elements such as service scope, fee structures, risk disclosures, and compliance obligations.
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1. Parties: Identification of the broker-dealer and client with full legal names and addresses
2. Background: Context of the agreement and regulatory framework under which it operates
3. Definitions: Key terms used throughout the agreement including regulatory and technical terminology
4. Services: Detailed description of broker-dealer services, execution obligations, and service limitations
5. Representations and Warranties: Legal declarations by both parties regarding their capacity, licensing, and regulatory compliance
6. Compensation: Fee structure, commission rates, payment terms, and other charges
7. Compliance Obligations: Regulatory compliance requirements including KYC, AML, and reporting obligations
8. Term and Termination: Duration of agreement and circumstances for termination
9. Indemnification: Mutual indemnification provisions and liability limitations
10. Confidentiality: Protection of confidential information and trade secrets
1. Margin Trading: Terms and conditions for margin trading services, including maintenance requirements and margin calls
2. Online Trading Provisions: Terms specific to electronic trading platforms and systems
3. Foreign Securities Trading: Additional terms and requirements for trading in non-US securities
4. Research Services: Terms related to the provision of research and analysis services
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Schedule B - Risk Disclosure Statement: Mandatory regulatory disclosures and risk warnings
3. Schedule C - Trading Authorization Forms: Standard forms for trading authorizations and permissions
4. Schedule D - KYC Documentation: Customer due diligence forms and requirements
5. Schedule E - Compliance Procedures: Detailed compliance procedures and requirements
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