Broker-Dealer Subsidiaries. (a) Xxxxx Xxxxxx Investments, LLC is the only subsidiary of the Company that is a broker-dealer. Xxxxx Xxxxxx Investments, LLC is a member of the Securities Investor Protection Corporation. The Company is not required to be registered as a futures commission merchant, commodities trading adviser, commodity pool operator or introducing broker under the Commodities Exchange Act or any similar state laws.
Appears in 7 contracts
Samples: Underwriting Agreement (Wintrust Financial Corp), Underwriting Agreement (Wintrust Financial Corp), Underwriting Agreement (Wintrust Financial Corp)
