Rule 408. The Introducing Firm shall be solely and exclusively responsible for the handling and supervisory review of any Introduced Accounts over which the Introducing Firm's partners, officers or employees have discretionary authority, as required by Rule 408 of the Rules and any other applicable laws and regulations. The Introducing Firm shall furnish the Clearing Agent with such documentation with respect thereto as may be requested by the Clearing Agent.
Appears in 2 contracts
Sources: Clearing Agreement (First Montauk Financial Corp), Clearing Agreement (Olympic Cascade Financial Corp)