Fully Disclosed Clearing Agreement Sample Contracts

Sidoti & Company, Inc. – Fully Disclosed Clearing Agreement Between Sidoti & Company Llc and Convergex Execution Solutions Llc (October 23rd, 2014)

1.0 REPRESENTATIONS, WARRANTIES AND COVENANTS 1 1.1 Broker 1 1.1.1 Registration 1 1.1.2 Authority to Enter Agreement 1 1.1.3 Compliance with Rules and Regulations 1 1.1.4 Transactions Subject to Penny Stock Disclosure Rules 2 1.1.5 No pending Actions, Investigations or Inquiries 2 1.1.6 Net Capital 2 1.1.7 Accuracy of Representations, Warranties and Covenants 2 1.2 ConvergEx 2 1.2.1 Registration 2 1.2.2 Authority to Enter Agreement 2 1.2.3 Compliance with Registration 2 1.2.4 Reports Available to Broker 2 1.2.5 Accuracy of Warranties and Representations 3 2.0 MAINTENANCE OF BOOKS AND RECORDS 3 2.1 Current Re

First Albany Companies, Inc. – Fully Disclosed Clearing Agreement of Pershing Llc ([Finra Member]) (March 18th, 2013)

THIS AGREEMENT is made and entered into this 26 day of February, 2008 by and between Pershing LLC (Pershing), a limited liability company, and Broadpoint Capital, Inc. (Broker), a New York corporation.

Southern Trust Securities Holding Corp – Fully Disclosed Clearing Agreement (January 30th, 2012)

THIS AGREEMENT is made and entered into this 17th day of June, 2005 by and between Pershing LLC ("Pershing"), a Limited Liability Company, and Capital Investment Services, Inc. ("Broker"), a Florida Corporation.

Southern Trust Securities Holding Corp – Fully Disclosed Clearing Agreement Between R.J. O'BRIEN & Associates, Llc. And (January 30th, 2012)

This FULLY DISCLOSED CLEARING AGREEMENT ("Agreement") is made and entered into this 10th day of July, 2011 by and between R.J. O'Brien & Associates, LLC ("RJO"), a Delaware limited liability company, and Sothern Trust Securities, Inc. (Broker"), a business organized under the laws of State of Florida.

First Albany Companies, Inc. – Proprietary Account Supplement to Fully Disclosed Clearing Agreement (March 15th, 2011)

THIS PROPRIETARY ACCOUNT SUPPLEMENT to the Fully Disclosed Clearing Agreement (the Agreement) dated February 26, 2008 entered into by Pershing LLC (Pershing) and Broadpoint Capital, Inc., n/k/a Gleacher & Company Securities, Inc. (Broker) is made and entered into on this 12th day of November, 2010 by and between Pershing and Broker.

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.

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 &

Summit Financial Services Group – Fully Disclosed Clearing Agreement of First Clearing, Llc (March 31st, 2008)

THIS AGREEMENT is made and entered into this 26th day of October, 2007 by and between FIRST CLEARING, LLC (First Clearing) and Summit Brokerage Services, Inc. (Broker).

Summit Financial Services Group – Fully Disclosed Clearing Agreement of Pershing Llc (Finra Member) (March 31st, 2008)

THIS AGREEMENT is made and entered into this 19th day of March, 2008 by and between Pershing LLC (Pershing), a limited liability company, and Summit Brokerage Services, Inc. (Broker), a Florida corporation.

First Albany Companies, Inc. – Fully Disclosed Clearing Agreement of Pershing Llc ([Finra Member]) (March 3rd, 2008)

THIS AGREEMENT is made and entered into this 26 day of February, 2008 by and between Pershing LLC ("Pershing"), a limited liability company, and Broadpoint Capital, Inc. ("Broker"), a New York corporation.

Amendment to the Fully Disclosed Clearing Agreement for Thomas Weisel Partners Llc (August 10th, 2007)

Amendment to the Fully Disclosed Clearing Agreement between Thomas Weisel Partners LLC (Correspondent) and National Financial Services LLC (NFS) dated August 15, 2005, and any amendments thereto (the Clearing Agreement).

Fully Disclosed Clearing Agreement of Keefe, Bruyette & Woods, Inc. (September 28th, 2006)

THIS AGREEMENT is made and entered into this 28th day of February, 2005 by and between Fortis Securities LLC ("Fortis"), a Limited Liability Company, and Keefe, Bruyette & Woods, Inc. ("Broker"), a New York Corporation.

Fully Disclosed Clearing Agreement of Pershing Division Donaldson, Lufkin & Jenrette Securities Corporation (September 28th, 2006)

THIS AGREEMENT is made and entered into as of this October 22, 1992 by and between the Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation ("Pershing"), a Delaware Corporation and Keefe, Bruyette & Woods, Inc. ("Broker"), a New York Corporation.

Fully Disclosed Clearing Agreement of Sg Americas Securities, Llc (August 24th, 2006)

THIS AGREEMENT is made and entered into this 12th day of July, 2006 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.

Paulson Capital Corp. – Fully Disclosed Clearing Agreement (August 14th, 2006)

This agreement (the Agreement) is made between RBC Dain Correspondent Services, a division of RBC Dain Rauscher Inc., a Minnesota corporation (Clearing Broker), and the party signing below (Correspondent), having the form of organization set forth below.

Fully Disclosed Clearing Agreement of Sg Americas Securities, Llc (July 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 (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.

Amendment No. 1 to Fully Disclosed Clearing Agreement (December 14th, 2005)

AMENDMENT NO. 1 dated as of December 8, 2005 (this Amendment), to the FULLY DISCLOSED CLEARING AGREEMENT (the Clearing Agreement), dated as of January 10, 2003, between INSTINET CLEARING SERVICES, INC. (ICS), and INET ATS, INC. (f/k/a Island ECN, Inc.) (Correspondent).

Archipelago Holdings Inc – Fully Disclosed Clearing Agreement Between Spear, Leeds & Kellogg and Wave Securities Llc (August 5th, 2004)

This AGREEMENT is made and entered into as of this 7th day of May, 2004 by and between Spear, Leeds & Kellogg, L.P. (SLK) and Wave Securities LLC (Broker).

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 – 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 – Fully Disclosed Clearing Agreement Between Spear, Leeds & Kellogg, L.P. And Redibook Ecn Llc (March 31st, 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 – FULLY DISCLOSED CLEARING AGREEMENT BETWEEN SPEAR, LEEDS & KELLOGG, L.P. AND GlobeNet Securities, Inc. (March 31st, 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 – Fully Disclosed Clearing Agreement Between Spear, Leeds & Kellogg, L.P. And Archipelago, L.L.C. (March 31st, 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").