The Broker-Dealer Agreement serves as the foundational document governing the relationship between registered broker-dealers and their clients in the United States. This agreement is essential for compliance with federal securities laws, including the Securities Exchange Act of 1934 and various SEC and FINRA regulations. The document outlines the scope of services, trading authorizations, fee structures, and risk disclosures. A properly structured Broker-Dealer Agreement is crucial for protecting both parties' interests and ensuring regulatory compliance in securities trading activities.
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1. Parties: Identification of the broker-dealer and the client, including registration details and legal status
2. Background: Context of the agreement and the relationship between parties
3. Definitions: Key terms used throughout the agreement
4. Services: Detailed description of broker-dealer services to be provided
5. Regulatory Compliance: Obligations regarding SEC, FINRA, and other regulatory requirements
6. Fees and Compensation: Commission structures, fee schedules, and payment terms
7. Client Representations: Client warranties and representations regarding their status and capacity
8. Term and Termination: Duration of agreement and termination provisions
1. Margin Account Provisions: Terms and conditions for margin trading services, including credit terms, margin requirements, and liquidation procedures
2. Online Trading Services: Specific terms and conditions for electronic trading platforms, including access, security, and system requirements
3. Foreign Securities: Provisions governing international trading activities, including foreign market regulations and currency considerations
4. Research Services: Terms regarding the provision of research and analysis services, including disclaimers and usage restrictions
1. Fee Schedule: Detailed breakdown of all fees, commissions, and charges applicable to the services
2. Risk Disclosure Statement: Mandatory risk warnings and disclosures as required by regulatory authorities
3. Account Opening Forms: Standard forms and documentation required for account setup and maintenance
4. Privacy Policy: Detailed information about data handling practices and privacy protection measures
5. Trading Authorization Forms: Forms designating authorized traders and establishing powers of attorney
6. Regulatory Disclosures: Required notices and disclosures mandated by SEC, FINRA, and other regulatory bodies
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