Citations. Any reference to the rules or regulations of the SEC, NASD, the NYSE, or any other regulatory or self-regulatory organization are current citations. Any changes in the citations (whether or not there are any changes in the text of such rules or regulations) shall be automatically incorporated herein.
Appears in 11 contracts
Samples: www.sec.gov, Fully Disclosed Clearing Agreement (Southern Trust Securities Holding Corp), Disclosed Clearing Agreement (International Assets Holding Corp)
Citations. Any reference to the rules or regulations of the SEC, NASD, the NYSE, NYSE or any other regulatory or self-regulatory organization are current citations. Any changes in the citations (whether or not there are any changes in the text of such rules or regulations) shall be automatically incorporated herein.
Appears in 3 contracts
Samples: Clearing Agreement (Echapman Com Inc), Disclosed Clearing Agreement (Chapman Holdings Inc), Pinnacle Global Group Inc
Citations. Any reference to the rules or regulations of the SEC, NASDFINRA, the NYSE, or any other regulatory or self-regulatory organization are current citations. Any changes in the citations (whether or not there are any changes in the text of such rules or regulations) shall be automatically incorporated herein.
Appears in 3 contracts
Samples: Disclosed Clearing Agreement (Gleacher & Company, Inc.), Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.), Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.)
Citations. Any reference to the rules or regulations of the CFTC, SEC, NASD, the NYSENFA, or any other regulatory or self-regulatory organization are current citations. Any changes in the citations (whether or not there are any changes in the text of such rules or regulations) shall be automatically incorporated herein.
Appears in 1 contract
Samples: Clearing Agreement (Southern Trust Securities Holding Corp)
Citations. Any reference to the rules or regulations of the SEC, NASD, --------- the NYSE, or any other regulatory or self-regulatory organization are current citations. Any changes in the citations (whether or not there are any changes in the text of such rules or regulations) shall be automatically incorporated herein.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (Ziegler Companies Inc)
Citations. Any reference to the rules or regulations of the SEC, NASD, the NYSEFINRA, or any other regulatory or self-regulatory organization are current citations. Any changes in the citations (whether or not there are any changes in the text of such rules or regulations) shall be automatically incorporated herein.. Pg. 27
Appears in 1 contract
Samples: www.sec.gov
Citations. Any reference to the rules or regulations of the SEC, NASD, the NYSEFINRA, or any other regulatory or self-regulatory organization are current citations. Any changes in the citations (whether or not there are any changes in the text of such rules or regulations) shall be automatically incorporated herein.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (Summit Financial Services Group Inc)
