Information to be Provided by the Introducing Firm. A. The Introducing Firm shall provide the Clearing Firm with copies of all financial information and reports filed by the Introducing Firm with the New York Stock Exchange, Inc. (if a member), the National Association of Securities Dealers, Inc., the Securities and Exchange Commission, and any other National Securities Exchange (where a member) (including but not otherwise limited to monthly and quarterly Financial and Operational Combined Uniform Single Reports, i.e., "FOCUS" Reports) simultaneous with the filing therewith. B. The Introducing Firm shall submit to the Clearing Firm on a monthly basis or, if so requested by the Clearing Firm, at more frequent intervals, information and reports relating to the Ii Firms financial integrity, including but not otherwise limited to information regarding the Introducing Firm's aggregate indebtedness ratio and net capital. C. The Introducing Firm shall provide the Clearing Firm with all appropriate data in its possession pertinent to the proper performance and supervision of any function or responsibility specifically allocated to the Clearing Firm pursuant to the terms of this Agreement. D. The Introducing Firm shall provide the Clearing Firm 4vith any amendment or supplement to the Form BD of the Introducing Firm. E. The Introducing Firm shall promptly provide the Clearing Firm with reasonably detailed information related to all suits, investigations or other proceedings pending, or known to be contemplated, against or affecting it before any court, arbitrator or other governmental authority that might have a material impact on the financial condition or business prospects of the Introducing Firm.
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Sources: Clearing Agreement (Archipelago Holdings L L C), Clearing Agreement (Archipelago Holdings L L C)