FINRA TRANSPARENCY SERVICES PARTICIPATION AGREEMENT v. 1.23Finra Transparency Services • September 12th, 2016 • New York
This Agreement is made by and between FINRA, a Delaware nonprofit corporation that is a securities self-regulatory organization, registered with the SEC and subject to The Act (FINRA and its subsidiaries, and affiliated entities, are collectively referred to herein as FINRA) whose principal place of business is located at 1735 K Street, N.W., Washington, D.C. and (full legal name of Participant) incorporated/registered in (State of incorporation/registration) with a principal place of business at (address of principal place of business), MPID(s) and CRD Number (“Participant”).
UNIFORM SERVICE BUREAU/EXECUTING BROKER AGREEMENTFinra Transparency Services • March 21st, 2011
This Uniform Service Bureau/Executing Broker Agreement (“Agreement”) is for use by an FINRA member (“Participant”) using a facility of FINRA listed on Attachment A hereto.
