Clearing Agreement Sample Contracts

Clearing Agreement (November 5th, 2013)
Clearing Agreement (May 8th, 2013)

EURONEXT AMSTERDAM N.V., a limited liability company (naamloze vennootschap) organised under the laws of the Netherlands, whose registered office is at Beursplein 5, 1012 JW Amsterdam, the Netherlands, recorded in the Commercial Register of Amsterdam under number 34138585, and represented by Mr. Cees Vermaas and Mr. Roland Bellegarde ("Euronext Amsterdam");

APM - Eckhardt Futures Fund, L.P. – Introducing Broker Clearing Agreement (June 10th, 2009)

be inappropriate due to actual or potential differing interests between them or the existence of different or additional defenses (it being understood, however, that the Indemnitor shall not be liable for legal fees or other expenses of more than one separate film of attorneys for all such Indemnitees, which firm shall be designated in writing by such Indemnitees and be reasonably acceptable to the Indemnitor). The Indemnitee will cooperate with the Indemnitor in connection with any such Proceeding and shall make all personnel, books and records relevant to the Proceeding available to the Indemnitor and grant such authorizations or powers of attorney to the agents, representatives and counsel of the Indemnitor as the Indemnitor may reasonably consider desirable in connection with the defense of any such Proceeding.

Hudson Holding Corp – FULLY DISCLOSED CLEARING AGREEMENT AS AMENDED BETWEEN RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC. -And- HUDSON SECURITIES INC. (August 12th, 2008)

Ridge shall not be required to execute orders in any securities that are not "reported securities," as defined in SEC Rule 3a51-1. Correspondent shall not accept orders for transactions in securities that do not meet such criteria without the prior written consent of Ridge, and the disclosure requirements of SEC Rule 3a51-1 do not apply.

Altegris Winton Futures Fund, L.P. – Introducing Broker Clearing Agreement (July 30th, 2008)

be inappropriate due to actual or potential differing interests between them or the existence of different or additional defenses (it being understood, however, that the Indemnitor shall not be liable for legal fees or other expenses of more than one separate film of attorneys for all such Indemnitees, which firm shall be designated in writing by such Indemnitees and be reasonably acceptable to the Indemnitor). The Indemnitee will cooperate with the Indemnitor in connection with any such Proceeding and shall make all personnel, books and records relevant to the Proceeding available to the Indemnitor and grant such authorizations or powers of attorney to the agents, representatives and counsel of the Indemnitor as the Indemnitor may reasonably consider desirable in connection with the defense of any such Proceeding.

Altegris Winton Futures Fund, L.P. – Introducing Broker Clearing Agreement (July 24th, 2008)

be inappropriate due to actual or potential differing interests between them or the existence of different or additional defenses (it being understood, however, that the Indemnitor shall not be liable for legal fees or other expenses of more than one separate film of attorneys for all such Indemnitees, which firm shall be designated in writing by such Indemnitees and be reasonably acceptable to the Indemnitor). The Indemnitee will cooperate with the Indemnitor in connection with any such Proceeding and shall make all personnel, books and records relevant to the Proceeding available to the Indemnitor and grant such authorizations or powers of attorney to the agents, representatives and counsel of the Indemnitor as the Indemnitor may reasonably consider desirable in connection with the defense of any such Proceeding.

First Albany Companies, Inc. – Fully Disclosed Clearing Agreement of Pershing Llc ([Finra Member]) (April 25th, 2008)

THIS AGREEMENT is made and entered into this 21st day of April, 2008 by and between Pershing LLC ("Pershing"), a limited liability company, and Broadpoint Securities, Inc. ("Broker"), a _New York corporation.

First Albany Companies, Inc. – Amendment to Fully Disclosed Clearing Agreement (April 16th, 2008)

This AMENDMENT (the "Amendment") to the Fully Disclosed Clearing Agreement (defined below), is made as of the 10th day of April, 2008 by and between Ridge Clearing &

And Banque Centrale De Compensation S.A. Amended and Restated Clearing Agreement (November 27th, 2006)

Euronext Amsterdam N.V., a limited liability company (naamloze vennootschap) organised under the laws of the Netherlands, whose registered office is at Beursplein 5, 1012 JW Amsterdam, recorded in the Commercial Register of Amsterdam under number 34138585, and represented by Mr. George Moller, Chairman of the Board of Directors (Euronext Amsterdam);

Penson Worldwide, Inc. – Termination / Compensation Payment Agreement (November 21st, 2006)

AGREEMENT dated as of November 20, 2006 by and among OPUS TRADING FUND LLC, a Delaware limited liability company (Opus), QUANTITATIVE TRADING STRATEGIES LLC, a Delaware limited liability company (QTS, and together with Opus, Payors) and PENSON FINANCIAL SERVICES, INC., a North Carolina corporation (PFSI).

And Banque Centrale De Compensation S.A. Amended and Restated Clearing Agreement (October 30th, 2006)

Euronext Amsterdam N.V., a limited liability company (naamloze vennootschap) organised under the laws of the Netherlands, whose registered office is at Beursplein 5, 1012 JW Amsterdam, recorded in the Commercial Register of Amsterdam under number 34138585, and represented by Mr. George Moller, Chairman of the Board of Directors (Euronext Amsterdam);

Phelps Engineered Plastics Corp. – Fully Disclosed Clearing Agreement (June 21st, 2006)

This Fully Disclosed Clearing Agreement (the "Agreement") is executed and entered into by and between First Southwest Company ("FSWC"), a Texas Corporation, and Charleston Capital ("CLAY') This Agreement will be deemed effective at 12:01 a.m. on the first day business is transacted hereunder.

Fully Disclosed Clearing Agreement of Sg Americas Securities, Llc (June 12th, 2006)

THIS AGREEMENT is made and entered into this day of , 20 by and between SG AMERICAS SECURITIES, LLC (Clearing Agent), a Delaware limited liability company, and COWEN AND COMPANY, LLC (Introducing Firm), a Delaware limited liability company.

Phelps Engineered Plastics Corp. – FULLY DISCLOSED CLEARING AGREEMENT BETWEEN TERRA NOVA TRADING, L.L.C. -And- Clayton, Dunning & Company (April 10th, 2006)

This agreement (the "Agreement"), dated as of July 6, 2004, by and between TERRA NOVA TRADING, L.L.C. ("Clearing Broker") and Clayton, Dunning & Company ("Correspondent"), sets forth the terms and conditions under which Clearing Broker shall provide execution, clearing and settlement services, on a fully disclosed basis, to Correspondent and its customers. Clearing Broker shall provide such services only to the extent required by this Agreement, and shall not be responsible for any duties or obligations not specifically allocated to Clearing Broker by this Agreement.

Phelps Engineered Plastics Corp. – Fully Disclosed Clearing Agreement (April 10th, 2006)

This Fully Disclosed Clearing Agreement (the "Agreement") is executed and entered into by and between First Southwest Company ("FSWC"), a Texas Corporation, and Charleston Capital ("CLAY') This Agreement will be deemed effective at 12:01 a.m. on the first day business is transacted hereunder.

Clearing Agreement (December 6th, 2005)

This agreement, made as of the 29th day of August, 2005 (the "Agreement") between Merrill Lynch, Pierce, Fenner & Smith Incorporated (hereinafter referred to as the "Clearing Firm") and INTL Trading, Inc. (hereinafter referred to as the "Introducing Firm"),

First Montauk Financial – Contract (April 27th, 2005)

Exhibit 10.1 TERMINATION OF CLEARING AGREEMENT This Termination Agreement is made and entered into effective as of the 21st day of April, 2005 by and among First Montauk Securities Corp., a New York corporation with offices at Parkway 109 Office Center, 328 Newman Springs Road, Red Bank NJ, 07701 (the "Introducing Firm"), and Fiserv Securities, Inc., with offices at Once Commerce Square, 2005 Market Street, Philadelphia, PA 19103-3212 ("Fiserv"). WHEREAS, the Introducing Firm, and Fiserv are parties to that certain Clearing Agreement dated as of May 8, 2000, and amended as of February 1, 2001 (the "Clearing Agreement"); WHEREAS, Fiserv, Inc. entered into an agreement to sell the wholly-owned subsidiary Fiserv Securities, Inc. ("Fiserv") to Fidelity Global Brokerage Group, Inc., a subsidiary of FMR Corp. and on March 24, 2005 Fiserv became an indirect subsidiary of Fidelity Global Brokerage Group, Inc. WHEREAS

National Holdings – Contract (June 24th, 2004)

EXHIBIT 10.36 CLEARING AGREEMENT This Clearing Agreement ("Agreement") is effective as of October 1, 2004, (the "Commencement Date"), between Fiserv Securities, Inc., a Delaware corporation (hereinafter referred to as the "Clearing Agent") and National Securities Corporation, a Washington corporation (hereinafter referred to as the "Introducing Firm"). In consideration of the mutual covenants hereinafter set forth and other good and valuable consideration, the receipt of which is hereby acknowledged, and intending to be legally bound, the parties hereto hereby covenant and agree as follows: I. Clearing Agent. 1. Services to be Performed by the Clearing Agent; Covenants of the Clearing Agent. a. Execution. The Clearing Agent shall execute orders for the Introducing Firm's proprietary accounts and customers whose cash or ma

Archipelago Holdings Inc – Fully Disclosed Clearing Agreement Between Spear, Leeds & Kellogg, L.P. And Archipelago, L.L.C. (June 14th, 2004)

This AGREEMENT is made and entered into as of this 7th day of January 2002 by and between Spear, Leeds & Kellogg, L.P. ("SLK") and Archipelago, L.L.C. ("Broker").

Archipelago Holdings Inc – Fully Disclosed Clearing Agreement Between Spear, Leeds & Kellogg, L.P. And Redibook Ecn Llc (June 14th, 2004)

This AGREEMENT is made and entered into as of this 7th day of January 2002 by and between Spear, Leeds & Kellogg, L.P. ("SLK") and REDIBook ECN LLC ("Broker").

Archipelago Holdings Inc – Clearing Agreement (June 14th, 2004)

This agreement, made as of the date indicated on the signature page hereof (the "Agreement") between Broadcort Capital Corp. (hereinafter referred to as the "Clearing Firm") and Archipelago LLC (hereinafter referred to as the "Introducing Firm"),

Archipelago Holdings Inc – FULLY DISCLOSED CLEARING AGREEMENT BETWEEN SPEAR, LEEDS & KELLOGG, L.P. AND GlobeNet Securities, Inc. (June 14th, 2004)

This AGREEMENT is made and entered into as of this day of December 2002 by and between Spear, Leeds & Kellogg, L.P. ("SLK") and GlobeNet Securities ("Broker").

Archipelago Holdings Inc – Clearing Agreement (March 31st, 2004)

This agreement, made as of the date indicated on the signature page hereof (the "Agreement") between Broadcort Capital Corp. (hereinafter referred to as the "Clearing Firm") and Archipelago LLC (hereinafter referred to as the "Introducing Firm"),