Common use of Mutual Fund Shares Clause in Contracts

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: Fully Disclosed Clearing Agreement, Fully Disclosed Clearing Agreement (Gleacher & Company, Inc.), Fully Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.)

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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)

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