Preparation and Transmission. In the case of Customer Accounts, Ridge will prepare and mail confirmations and monthly or quarterly statements of account to Customers in connection with transactions executed or cleared through Ridge. Confirmations and statements of account shall disclose that the Accounts are carried on a fully-disclosed basis for Correspondent. Correspondent acknowledges that such confirmations shall be prepared and delivered on Correspondent’s behalf and at its direction, and that such confirmations shall remain, for all purposes, the confirmations of Correspondent. Correspondent further acknowledges that it shall have sole and exclusive responsibility for information that it provides or fails to provide for disclosure on confirmations and monthly or quarterly statements. Accordingly, Correspondent shall provide in writing to Ridge any information required by the Applicable Laws and Rules to be disclosed in its confirmations and monthly and quarterly statements, including, without limitation, information required in connection with any Directed-Brokerage Arrangement or Payment for Order Flow Arrangement. Correspondent shall review and approve in writing the form of confirmations and monthly and quarterly statements of account prior to their use. Ridge will provide Correspondent with copies of all confirmations and statements sent by Ridge to Customers in connection with the Accounts. Correspondent shall not prepare or transmit confirmations or periodic account statements to Customers without the prior written consent of Ridge.
Preparation and Transmission. Apex will prepare and, to the extent required by the Rules, transmit to Customers monthly statements of account (or quarterly statements if no activity occurs in an account during any quarter covered by such statement), which statements shall meet Apex’ s requirements as to format and quality and will indicate that Correspondent is the introducing broker for the Account. Apex will be responsible for preparing and transmitting confirmations. Only upon prior written approval from Apex at Apex’s sole discretion and amendment of this Agreement, Apex may allow Correspondent to assume the responsibility of preparing and transmitting confirmations. including the responsibility for compliance with the provisions of SEC Rule 10b-10 under the Exchange Act and FINRA Rule 2232. Without explicit written approval of Apex and a corresponding amendment of this Agreement, which shall be in Apex’s sole discretion, Correspondent is prohibited from causing any deviation from Apex’s normal process for the preparation and transmission of statements and confirmations. Copies of all monthly or quarterly statements sent by Apex to Customers will be sent to Correspondent. Apex will also provide to Correspondent monthly statements of clearing services performed by Apex for Correspondent and Custon1er Accounts showing the fees charged for such services during the month, as provided in Section 8. Correspondent will have the ultimate responsibility for compliance with the prospectus delivery requirements of the Securities Act of 1933, as amended, regardless of its retention of a prospectus fulfillment service to perform delivery of same.
Preparation and Transmission. Apex will prepare and send, to the extent required by the Rules, to Correspondent monthly statements of account (or quarterly statements if no activity occurs in an account during any quarter covered by such statement), which statements shall meet Apex’s requirements as to format and quality. Apex will be responsible for preparing and transmitting confirmations. Apex will also provide to Correspondent monthly statements of clearing services performed by Apex for Correspondent Accounts showing the fees charged for such services during the month. Correspondent shall prepare and send to its customers statements of accounts and confirmations as applicable, and Apex shall have no responsibility thereto. Correspondent shall be responsible for the delivery of any prospectus or other documents or information to its customers.
Preparation and Transmission. Clearing Broker shall prepare and mail to Customers (and to Correspondent for its proprietary accounts) confirmations and monthly or quarterly statements of account in connection with all transactions executed or cleared through Clearing Broker, on Clearing Broker's forms disclosing that the Accounts are carried on a fully disclosed basis for Correspondent: provided. However, that Clearing Broker may, with the prior approval of Correspondent, delegate such confirmation responsibilities to Correspondent. In the event that such responsibilities are delegated to Correspondent, Correspondent shall have sole and exclusive responsibility for confirmations and for their compliance with the Laws and Rules. In the event that such responsibilities are not delegated to Correspondent, Correspondent acknowledges that such confirmations shall be prepared and delivered on Correspondent's behalf and at its direction, and that such confirmations shall remain, for all purposes, the confirmations of Correspondent. Correspondent further acknowledges that it shall have sole and exclusive responsibility for the content of such confirmations and for their compliance with the Laws and Rules. Accordingly, Correspondent shall provide in writing to Clearing Broker any information required by the Laws and Rules to be disclosed in its confirmations, including, without limitation, information with respect to the receipt of any payment for order flow. Clearing Broker shall provide Correspondent with copies of all confirmations and statements sent by Clearing Broker to Customers in connection with the Accounts. Except as expressly provided in this Agreement. Correspondent shall not prepare or transmit confirmations or periodic account statements or other communications to Customers without the prior written consent of Clearing Broker.
Preparation and Transmission. ICS shall prepare and mail to Customers (and to Correspondent for its proprietary accounts) confirmations and monthly or quarterly statements of account in connection with all transactions executed or cleared through ICS, on ICS’ forms disclosing that the Accounts are carried on a fully disclosed basis for Correspondent; provided, however, that ICS may, in its sole discretion, delegate such confirmation responsibilities to Correspondent. In the event that such responsibilities are delegated to Correspondent, Correspondent shall have sole and exclusive responsibility for confirmations and for their compliance with the Laws and Rules. In the event that such responsibilities are not delegated to Correspondent, Correspondent acknowledges that such confirmations shall be prepared and delivered on Correspondent’s behalf and at its direction, and that such confirmations shall remain, for all purposes, the confirmations of Correspondent. Correspondent further acknowledges that it shall have sole and exclusive responsibility for the content of such confirmations and for their compliance with the Laws and Rules. Accordingly, Correspondent shall provide in writing to ICS any information required by the Laws and Rules to be disclosed in its confirmations, including, without limitation, information with respect to the receipt of any payment for order flow. ICS shall provide Correspondent with copies of all confirmations and statements sent by ICS to Customers in connection with the Accounts. Except as expressly provided in this Agreement, Correspondent shall not prepare or transmit confirmations or periodic account statements or other communications to Customers without the prior written consent of ICS.
Preparation and Transmission. MFS will make available online to the Client a report of daily transaction details and holding positions on all active accounts of the Client. MFS will also make available to the Client daily transaction details i.e. trade confirmation in electronic form preferably using electronic mail addressed to the email ID of the Client or its designated officials.
Preparation and Transmission. Penson will prepare and send to Customers monthly statemexxx xx account (or quarterly statements if no activity occurs in an account during any quarter covered by such statement), which statements shall meet Penson's requirements as to format and quality and will ixxxxxxx that Correspondent is the introducing broker for the Account. Penson will be responsible for preparing and transmitting xxxxxrmations, including the responsibility for compliance with the provisions of Rule 2230 of the NASD's Conduct Rules. Copies of all monthly or quarterly statements sent by Penson to Customers will be sent to Correspondent. Penson xxxx also provide to Correspondent monthly statemexxx xx clearing services performed by Penson for Correspondent and Customer Accounts showing the fees charged for such services during the month as provided in SECTION 8.
