The Net Brokerage Agreement serves as the foundational document governing the relationship between brokers and their clients in the United States financial markets. This agreement is essential when establishing professional brokerage services, particularly where net fee arrangements are involved. It addresses crucial aspects such as commission structures, trading authority, risk disclosures, and compliance with SEC regulations and state securities laws. The document is designed to protect both parties while ensuring transparency in financial transactions and adherence to regulatory requirements.
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1. Parties: Identification of the broker and client, including registration details and licensing information
2. Background: Context of the agreement, regulatory framework, and purpose of the brokerage relationship
3. Definitions: Key terms used throughout the agreement including regulatory and industry-specific terminology
4. Services: Detailed scope of brokerage services, trading authorization, and execution terms
5. Compensation: Fee structure, commission rates, payment terms, and other charges
6. Representations and Warranties: Legal assurances from both parties regarding licensing, compliance, and authority
7. Term and Termination: Duration of agreement, renewal terms, and conditions for termination
8. Confidentiality: Protection of sensitive information and trade secrets
1. Electronic Trading: Terms and conditions for electronic trading platforms and systems
2. International Transactions: Specific provisions for cross-border trading and international market access
3. Research Services: Terms governing the provision of market research and analysis
1. Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Service Level Agreement: Performance metrics, response times, and service standards
3. Risk Disclosure: Mandatory risk warnings and regulatory disclosures
4. Trading Parameters: Trading limits, restrictions, and operational guidelines
Relevant legal definitions
Clauses
Relevant Industries
Relevant Teams
Relevant Roles
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