0001193125-10-150090 Sample Contracts

Re: Clearing Agreement

Clearing Agreement • June 29th, 2010 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York

• Contract Type
  Clearing Agreement
• Filed
  June 29th, 2010
• Company
  Hudson Holding Corp
• Industry
  Security brokers, dealers & flotation companies
• Jurisdiction
  New York

This Agreement sets forth the terms and conditions under which the Broadcort Division of Merrill Lynch, Pierce, Fenner & Smith Incorporated (the “Clearing Firm”) will act as your clearing broker to carry and clear, on a fully disclosed basis, cash and margin accounts (the “Accounts”) for you and your customers (the “Customers”). For purposes of this Agreement, you shall hereinafter be referred to as “you” or the “Introducing Firm.” This Agreement shall apply only to securities and related transactions for which pricing provisions are set forth in Schedule A hereto. This Agreement shall become effective upon approval of the Financial Industry Regulatory Authority (“FINRA”).

SUBLEASE AGREEMENT

Sublease Agreement • June 29th, 2010 • Hudson Holding Corp • Security brokers, dealers & flotation companies • New York

• Contract Type
  Sublease Agreement
• Filed
  June 29th, 2010
• Company
  Hudson Holding Corp
• Industry
  Security brokers, dealers & flotation companies
• Jurisdiction
  New York

THIS SUBLEASE AGREEMENT (“Sublease”) is executed effective as of January_28, 2010, by and between Hudson Securities, Inc. a Delaware corporation (“Sublandlord”) and JW Asset Management, LLC, a . (“Subtenant”).