Common Contracts
2 similar Clearing Agreement contracts
Customer Agreement and Information BrochureClearing Agreement • June 27th, 2011 • New York
Southwest Securities, Inc. (“SWST”), a Member Firm of the New York Stock Exchange (“NYSE”), the Financial Industry Regulation Authority (“FINRA”), and the Securities Investor Protection Corporation (“SIPC”) may perform, as agent, certain execution and clearing functions for your independent brokerage firm. These services are performed under a contract, known as a Clearing Agreement (the “Clearing Agreement”), between SWST and your independent brokerage firm. In the Clearing Agreement, “Broker” or “your Broker” refers to the account executive/registered representative with whom you deal or to the introducing brokerage firm employing him/her. In addition, “you”, “your”, and “Customer” refer to each person who signs the account application. SWST’s role is limited to performing execution, clearing and custodial functions for your Broker. SWST makes no investment recommendations to the customers of your brokerage firm and assumes no responsibility for any investment recommendations that you
Customer Agreement and Information BrochureClearing Agreement • January 21st, 2009 • New York
Southwest Securities, Inc. (“SWST”), a Member Firm of the New York Stock Exchange (“NYSE”), the Financial Industry Regulation Authority (“FINRA”), and the Securities Investor Protection Corporation (“SIPC”) may perform, as agent, certain execution and clearing functions for your independent brokerage firm. These services are performed under a contract, known as a Clearing Agreement (the “Clearing Agreement”), between SWST and your independent brokerage firm. In the Clearing Agreement, “Broker” or “your Broker” refers to the account executive/registered representative with whom you deal or to the introducing brokerage firm employing him/her. In addition, “you”, “your”, and “Customer” refer to each person who signs the account application. SWST’s role is limited to performing execution, clearing and custodial functions for your Broker. SWST makes no investment recommendations to the customers of your brokerage firm and assumes no responsibility for any investment recommendations that you
