Marketmaking. Upon the execution of this Agreement, Correspondent shall provide to Clearing Broker a written list of all securities with respect to which Correspondent is a marketmaker. Correspondent shall give prior written notice of any proposed changes in its marketmaking activities. Correspondent shall provide Clearing Broker on a timely basis with information sufficient to ensure that any confirmations sent to Customers by Clearing Broker on Correspondent’s behalf contain correct information regarding Correspondent’s role in the transaction. Clearing Broker shall have the right to limit or prohibit Correspondent’s marketmaking activities with respect to any security.
Appears in 2 contracts
Samples: Fully Disclosed Clearing Agreement (Baker Global Asset Management Inc.), Fully Disclosed Clearing Agreement (Paulson Capital Corp)
