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: Fully Disclosed Clearing Agreement, Fully Disclosed Clearing Agreement (Southern Trust Securities Holding Corp), Fully Disclosed Clearing Agreement (International Assets Holding Corp)
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: Fully Disclosed Clearing Agreement (Gleacher & Company, Inc.), Fully Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.), Fully Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.)
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: Fully Disclosed Clearing Agreement (Pinnacle Global Group Inc), Fully Disclosed Clearing Agreement (Echapman Com Inc), Fully Disclosed Clearing Agreement (Chapman Holdings Inc)
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: Fully Disclosed Clearing Agreement (Ziegler Companies Inc)
