Material Compliance with Rules and Regulations. Broker and each of its employees is in material compliance with, and during the term of this Agreement shall remain in material compliance with, the registration, qualification, capital, financial reporting, customer protection, and other requirements of every self-regulatory organization of which Broker is a member, of the SEC, and of every state to the extent that Broker or any of its employees is subject to the jurisdiction of that state.
Appears in 5 contracts
Samples: Fully Disclosed Clearing Agreement (Southern Trust Securities Holding Corp), Disclosed Clearing Agreement (Summit Financial Services Group Inc), Disclosed Clearing Agreement (International Assets Holding Corp)
Material Compliance with Rules and Regulations. Broker and each of its employees is in material compliance with, and during the term of this Agreement shall remain in material compliance with, the registration, qualification, capital, financial reporting, customer protection, and other requirements of every self-regulatory organization of which Broker is a member, of the SEC, . and of every state to the extent that Broker or any of its employees is subject to the jurisdiction of that state.
Appears in 2 contracts
Samples: Clearing Agreement (American Portfolios Holdings Inc), Clearing Agreement (American Portfolios Holdings Inc)
Material Compliance with Rules and Regulations. Broker and each of its employees is in material compliance with, and during the term of this Agreement shall remain in material compliance with, the registration, qualification, capital, financial reporting, customer protection, and other requirements rules and regulations of every self-regulatory organization of which Broker is a memberthe NFA, of the SECCFTC, and of every state to the extent that Broker or any of its employees is subject to the jurisdiction of that statestate (collectively the “Rules”).
Appears in 1 contract
Samples: Clearing Agreement (Southern Trust Securities Holding Corp)
Material Compliance with Rules and Regulations. Except as otherwise disclosed, Broker and each of its employees is in material compliance with, and during the term of this Agreement shall remain in material compliance with, the registration, qualification, capital, financial reporting, customer protection, and other requirements of every self-regulatory organization of which Broker is a member, of the SEC, and of every state to the extent that Broker or any of its employees is subject to the jurisdiction of that state.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (Siebert Financial Corp)
Material Compliance with Rules and Regulations. Broker and each of its ---------------------------------------------- employees is in material compliance with, and during the term of this Agreement shall remain in material compliance with, the registration, qualification, capital, financial reporting, customer protection, and other requirements of every self-regulatory organization of which Broker is a member, of the SEC, and of every state to the extent that Broker or any of its employees is subject to the jurisdiction of that state.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (Ziegler Companies Inc)
