Common Contracts

Client Brokerage Terms and Conditions

Client Brokerage Terms and Conditions • June 1st, 2017 • New York

• Contract Type
  Client Brokerage Terms and Conditions
• Filed
  June 1st, 2017
• Jurisdiction
  New York

As a condition of, and in consideration for, Cowen Execution Services LLC or its affiliates (collectively, “CES”) from time to time accepting orders (each an “Order” and, collectively, “Orders”) and/or effecting transactions (“Transactions”) in securities (including depository receipts and listed options), futures or foreign exchange at your direction and/or on your behalf or at the direction of your customer, you (“Client”) agree to the terms and conditions (“Terms and Conditions”) set forth below. Client’s agreement to these Terms and Conditions will be deemed accepted and renewed with each Order placed with, or Transaction effected through, CES. The Terms and Conditions apply to all account(s) (each an “Account” and, collectively, “Accounts”) at CES opened by Client or on Client’s behalf, or as to which Client exercises investment discretion or trading authorization, or for which Client transmits Orders.