Obligations Regarding Certain Disclosures. Unless otherwise agreed between the parties, Broker shall make any disclosures and obtain any agreements from its customers required by applicable law or regulation, including, without limitation, any disclosures or agreements required for margin, listed options, IPO’s, mutual funds, xxxxx stocks, derivative securities, account transfers or conversions. The cost of making such disclosures or obtaining such agreements shall be borne by Broker.
Appears in 3 contracts
Samples: Disclosed Clearing Agreement (Gleacher & Company, Inc.), Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.), Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.)
Obligations Regarding Certain Disclosures. Unless otherwise agreed between the parties, Broker shall make any disclosures and obtain any agreements from its customers required by applicable law or regulation, including, without limitation, any disclosures or agreements required for margin, listed options, IPO’s, mutual funds, xxxxx stocks, derivative securities, account transfers or conversions. The cost of making such disclosures or obtaining such agreements shall be borne by Broker.
Appears in 2 contracts
Samples: www.sec.gov, Disclosed Clearing Agreement (Summit Financial Services Group Inc)
Obligations Regarding Certain Disclosures. Unless otherwise agreed between the parties, Broker shall make any disclosures and obtain any agreements from its customers required by applicable law or regulation, including, without limitation, any disclosures or agreements required for margin, listed options, IPO’s, mutual funds, xxxxx stocks, derivative securities, account transfers or conversions. The cost of making such disclosures or obtaining such agreements shall be borne by Broker.
Appears in 2 contracts
Samples: www.sec.gov, Disclosed Clearing Agreement (Summit Financial Services Group Inc)
Obligations Regarding Certain Disclosures. Unless otherwise agreed between the parties, Broker shall make any disclosures and obtain any agreements from its customers required by applicable law or regulation, including, without limitation, any disclosures or agreements required for margin, listed options, IPO’s, mutual funds, xxxxx penny stocks, derivative securitiessecurxxxxx, account transfers or conversions. The cost of making such disclosures or obtaining such agreements shall be borne by Broker.
Appears in 1 contract
Samples: Clearing Agreement (American Portfolios Holdings Inc)
Obligations Regarding Certain Disclosures. Unless otherwise agreed between the parties, Broker shall make any disclosures and obtain any agreements from its customers required by applicable law or regulation, including, without limitation, any disclosures or agreements required for margin, listed options, IPO’s, mutual funds, xxxxx stocks, derivative securities, account transfers or conversions. The cost of making such disclosures or obtaining such agreements shall be borne by Broker.
Appears in 1 contract
Samples: Agreement (Kbw, Inc.)
Obligations Regarding Certain Disclosures. Unless otherwise agreed between the parties, Broker shall make any disclosures and obtain any agreements from its customers required by applicable law or regulation, including, without limitation, any disclosures or agreements required for margin, listed options, IPO’s's, mutual funds, xxxxx pxxxx stocks, derivative securities, account transfers or conversions. The cost of making such disclosures or obtaining such agreements shall be borne by Broker.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Southern Trust Securities Holding Corp)
Obligations Regarding Certain Disclosures. Unless otherwise agreed between the parties, Broker shall make any disclosures and obtain any agreements from its customers required by applicable law or regulation, including, without limitation, any disclosures or agreements required for margin, listed options, IPO’s, mutual funds, xxxxx penny stocks, derivative derivatxxx securities, account transfers or conversions. The cost of making such disclosures or obtaining such agreements shall be borne by Broker.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (Siebert Financial Corp)
Obligations Regarding Certain Disclosures. Unless otherwise agreed between the parties, Broker shall make any disclosures and obtain any agreements from its customers required by applicable law or regulation, including, without limitation, any disclosures or agreements required for margin, listed options, IPO’s, mutual funds, xxxxx penny stocks, derivative securitiessecuritixx, account xccount transfers or conversions. The cost of making such disclosures or obtaining such agreements shall be borne by Broker.
Appears in 1 contract
Samples: Clearing Agreement (American Portfolios Holdings Inc)
Obligations Regarding Certain Disclosures. Unless otherwise agreed between the parties, Broker shall make any disclosures and obtain any agreements from its customers required by applicable law or regulation, including, without limitation, any disclosures or agreements required for margin, listed options, IPO’s, mutual funds, xxxxx pxxxx stocks, derivative securities, account transfers or conversions. The cost of making such disclosures or obtaining such agreements shall be borne by Broker.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (International Assets Holding Corp)
