Supervision of Orders and Accounts. Correspondent shall be solely and exclusively responsible for the conduct and supervision of the Accounts and all transactions therein and their compliance with the Applicable Laws and Rules. Correspondent’s responsibilities shall include, without limitation, the following:
Appears in 3 contracts
Samples: Clearing Agreement (Hudson Holding Corp), Clearing Agreement (Broadpoint Securities Group, Inc.), Agreement (Broadpoint Securities Group, Inc.)
Supervision of Orders and Accounts. Correspondent shall be solely and exclusively responsible for the conduct and supervision of the Accounts and all transactions therein and their compliance with the Applicable Laws and Rules, including, without limitation, any Laws and Rules relating to Correspondent’s fiduciary responsibility to Customers under ERISA. Correspondent’s responsibilities shall include, without limitation, the following:
Appears in 2 contracts
Samples: www.sec.gov, Fully Disclosed Clearing Agreement (Nasdaq Stock Market Inc)
Supervision of Orders and Accounts. Correspondent shall be solely and exclusively responsible for the conduct and supervision of the Accounts and all transactions therein and their compliance with the Applicable Laws and Rules, including, without limitation, any Laws and Rules relating to Correspondent's fiduciary responsibility to Customers under ERISA. Correspondent’s 's responsibilities shall include, without limitation, the following:
Appears in 1 contract
