CUSTOMER AND CORRESPONDENT ACCOUNTS. Responsibility for compliance with the provisions of the NASD Rules of Fair Practice regarding opening, approving and monitoring Customer Accounts shall be allocated between Southwest and Correspondent as set forth in this Section 2.
Appears in 4 contracts
Samples: Fully Disclosed Clearing Agreement (Raike Financial Group Inc/Ga), Fully Disclosed Clearing Agreement (Davis & Associates), Fully Disclosed Clearing Agreement (Raike Financial Group Inc/Ga)
CUSTOMER AND CORRESPONDENT ACCOUNTS. Responsibility for compliance with the provisions of the NASD Rules of Fair Practice regarding opening, approving and monitoring Customer Accounts accounts shall be allocated between Southwest and Pensxx xxx Correspondent as set forth in this Section 2.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Penson Worldwide Inc), Fully Disclosed Clearing Agreement (Penson Worldwide Inc)
CUSTOMER AND CORRESPONDENT ACCOUNTS. Responsibility for compliance with the provisions of the NASD Rules of Fair Practice regarding opening, approving and monitoring Customer Accounts accounts shall be allocated between Southwest Xxxxxx and Correspondent as set forth in this Section 2.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Internet Financial Services Inc)
