Provision of Financial Information. Broker shall furnish Pershing copies of FOCUS Reports, financial statements for the current fiscal year, the executed Forms X-17a-5 (Parts I and IIA) filed with the SEC, any amendments to Broker's Form BD, and any other regulatory or financial reports Pershing may from time to time require. Broker shall provide such reports to Pershing at the time Broker files such reports with its primary examining authority. Broker shall also notify Pershing in advance of withdrawals of more than 10 percent of its net capital.
Appears in 3 contracts
Samples: Clearing Agreement (American Portfolios Holdings Inc), Disclosed Clearing Agreement (Siebert Financial Corp), Clearing Agreement (American Portfolios Holdings Inc)
Provision of Financial Information. Broker shall furnish Pershing copies of FOCUS Reports, financial statements for the current fiscal year, the executed Forms X-17a-5 (Parts I and IIA) filed with the SEC, any amendments to Broker's Form BD, and any other regulatory or financial reports Pershing may from time to time require. Broker shall provide such reports to Pershing at the time Broker files such reports with its primary examining authority. Broker shall also notify Pershing in advance of withdrawals of more than 10 percent 10% of its net capital.
Appears in 3 contracts
Samples: Disclosed Clearing Agreement (Chapman Holdings Inc), Clearing Agreement (Echapman Com Inc), Pinnacle Global Group Inc
Provision of Financial Information. Broker shall furnish Pershing copies of FOCUS Reports, financial statements for the current fiscal year, the executed Forms X-17a-5 (Parts I and IIA) filed with the SEC, any amendments to Broker's ’s Form BD, and any other regulatory or financial reports Pershing may from time to time require. Broker shall provide such reports to Pershing at the time Broker files such reports with its primary examining authority. Broker shall also notify Pershing in advance of withdrawals of more than 10 percent of its net capital.
Appears in 2 contracts
Samples: www.sec.gov, Disclosed Clearing Agreement (Summit Financial Services Group Inc)
Provision of Financial Information. Broker shall furnish Pershing copies of FOCUS Reports, audited annual financial statements for the current fiscal year, the executed Forms X-17a-5 (Parts I and IIA) filed with the SEC, any material amendments to Broker's ’s Form BD, and any other material regulatory or financial reports Pershing may from time to time reasonably require, unless prohibited by law. Broker shall provide such reports to Pershing at the time Broker files such reports with its primary examining authority. Broker shall also notify Pershing in advance of withdrawals of more than 10 percent of its net capital., or promptly thereafter..
Appears in 2 contracts
Samples: Disclosed Clearing Agreement (Gleacher & Company, Inc.), Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.)
Provision of Financial Information. Broker shall furnish Pershing copies of FOCUS Reports, audited annual financial statements for the current fiscal year, the executed Forms X-17a-5 (Parts I and IIA) filed with the SEC, any material amendments to Broker's ’s Form BD, and any other material regulatory or financial reports Pershing may from time to time reasonably require, unless prohibited by law. Broker shall provide such reports to Pershing at the time Broker files such reports with its primary examining authority. Broker shall also notify Pershing in advance of withdrawals of more than 10 percent of its net capital, or promptly thereafter.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (Broadpoint Securities Group, Inc.)
Provision of Financial Information. Broker shall furnish Pershing copies of FOCUS Reports, financial statements for the current fiscal year, the executed Forms X-17a-5 (Parts I and IIA) filed with the SEC, any amendments to Broker's Form BD, and any other regulatory or financial reports Pershing may from time to time require. Broker shall provide such reports to Pershing at the time Broker files such reports with its primary examining authority. Broker shall also notify Pershing in advance of withdrawals of more than 10 percent of its net capital.
Appears in 1 contract
Samples: Fully Disclosed Clearing Agreement (Southern Trust Securities Holding Corp)
Provision of Financial Information. Broker shall furnish Pershing copies of FOCUS Reports, financial statements for the current fiscal year, the executed Forms X-17a-5 (Parts I and IIA) filed with the SEC, any amendments to Broker's ’s Form BD, and any other regulatory or financial reports Pershing may from time to time require. Broker shall provide such reports to Pershing at the time Broker files such reports with its primary examining authority. Broker shall also notify Pershing in advance of withdrawals of more than 10 percent of its net capital.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (International Assets Holding Corp)
Provision of Financial Information. Broker shall furnish Pershing copies ---------------------------------- of FOCUS Reports, financial statements for the current fiscal year, the executed Forms X-17a-5 X- 1 7a-5 (Parts I and IIA) filed with the SEC, any amendments to Broker's Form BD, and any other regulatory or financial reports Pershing may from time to time require. Broker shall provide such reports to Pershing at the time Broker files such reports with its primary examining authority. Broker shall also notify Pershing in advance of withdrawals of more than 10 20 percent of its net capital.
Appears in 1 contract
Samples: Disclosed Clearing Agreement (Ziegler Companies Inc)
