Mutual Fund Shares. Broker shall be responsible for obtaining and executing dealer agreements with any principal underwriter for mutual funds from which Broker seeks to purchase mutual fund shares for its Customers’ accounts. Broker shall provide copies of such agreements to Pershing upon Pershing’s request.
Appears in 5 contracts
Samples: www.sec.gov, Disclosed Clearing Agreement (Gleacher & Company, Inc.), Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.)
Mutual Fund Shares. Broker shall be responsible for obtaining and executing dealer agreements with any principal underwriter for mutual funds from which Broker seeks to purchase mutual fund shares for its Customers’ ' accounts. Broker shall provide copies of such agreements to Pershing upon Pershing’s 's request.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Southern Trust Securities Holding Corp)
