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Common use of Introducing Firms Responsibilities Clause in Contracts

Introducing Firms Responsibilities.

Appears in 3 contracts

Sources: Clearing Agreement (Hudson Holding Corp), Fully Disclosed Clearing Agreement (Cowen Group, Inc.), Clearing Agreement (Olympic Cascade Financial Corp)

Related Clauses

  • COUNTY’S RESPONSIBILITIES
  • Client’s Responsibilities
  • Vendor Responsibilities
  • CITY’S RESPONSIBILITIES
  • IRO Responsibilities

Parent Clauses

  • Maintenance of Books and Records
  • Prime Brokerage

Sub-Clauses

  • Anti-Money Laundering Obligations
  • Anti-Money Laundering Program
  • Non-Resident Alien Accounts Carried Directly or Through an Investment Adviser
  • Notification to Clearing Firm and Provision of Reports
  • Introducing Firm to File CTRs
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