The Broker Dealer Referral Agreement is essential for financial institutions operating in the United States that wish to expand their client base through referral arrangements. This document is specifically designed to comply with strict U.S. securities regulations, including SEC requirements, FINRA rules, and state-specific regulations. The agreement outlines the responsibilities of both parties, compensation structures, and compliance requirements while protecting both parties' interests. It's particularly important given the heavily regulated nature of securities trading and the need for clear documentation of referral arrangements in the financial services industry.
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1. Parties: Identifies the broker-dealer and the referrer, including registration details and contact information
2. Background: Explains the context of the agreement and the parties' intentions to enter into a referral arrangement
3. Definitions: Defines key terms used throughout the agreement including 'Referral', 'Client', 'Services', etc.
4. Scope of Services: Details the referral services to be provided and any limitations
5. Regulatory Compliance: Outlines compliance requirements with securities laws and regulations
6. Compensation: Details the fee structure and payment terms for referrals
7. Representations and Warranties: States the parties' representations regarding licenses, compliance, and authority
8. Term and Termination: Specifies duration and termination conditions
9. Confidentiality: Addresses handling of confidential information
1. Marketing and Communications: Guidelines for marketing materials and client communications - include when referrer will be involved in marketing activities
2. Training Requirements: Specifies any required training for referrers - include when specific training is needed for compliance
3. Territory Restrictions: Defines geographical limitations - include when referrals are limited to specific regions
4. Non-Compete: Restrictions on competing activities - include when exclusivity is required
1. Compensation Schedule: Detailed breakdown of fee structures and payment calculations
2. Compliance Procedures: Detailed compliance requirements and procedures
3. Required Disclosures: Standard disclosures required by regulations
4. Approved Marketing Materials: Templates or examples of approved marketing materials
5. Registration Documentation: Copies of relevant licenses and registrations
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