Clearing Agreement Sample Contracts
EXHIBIT 10.36 CLEARING AGREEMENT This Clearing Agreement ("Agreement") is effective as of October 1, 2004, (the "Commencement Date"), between Fiserv Securities, Inc., a Delaware corporation (hereinafter referred to as the "Clearing Agent") and...Clearing Agreement • June 24th, 2004 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services
Standard Contracts
Clearing AgreementClearing Agreement • September 29th, 2021
Clearing AgreementClearing Agreement • September 29th, 2021
EX-10.1 2 rrd98575_10128.htm CLEARING AGREEMENT CLEARING AGREEMENTClearing Agreement • May 5th, 2020 • New York
This agreement, made as of the 29th day of August, 2005 (the "Agreement") between Merrill Lynch, Pierce, Fenner & Smith Incorporated (hereinafter referred to as the "Clearing Firm") and INTL Trading, Inc. (hereinafter referred to as the "Introducing Firm"),
Clearing AgreementClearing Agreement • September 29th, 2021
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
AND BANQUE CENTRALE DE COMPENSATION S.A. LCH.CLEARNET GROUP LIMITED AMENDED AND RESTATED CLEARING AGREEMENTClearing Agreement • April 24th, 2007 • NYSE Euronext • Security & commodity brokers, dealers, exchanges & services
Euronext Amsterdam N.V., a limited liability company (“naamloze vennootschap”) organised under the laws of the Netherlands, whose registered office is at Beursplein 5, 1012 JW Amsterdam, recorded in the Commercial Register of Amsterdam under number 34138585, and represented by Mr. George Möller, Chairman of the Board of Directors (“Euronext Amsterdam”);
Clearing AgreementClearing Agreement • January 7th, 2019
EX-10 4 clearing.htm EX 10.10 EXECUTION COPY Date: January 14, 2008 Oppenheimer & Co. Inc. 125 Broad Street New York, NY 10004 Gentlemen:Clearing Agreement • May 5th, 2020 • New York
This will confirm our agreement (“Agreement”) under which we (“we”, “us”, “our” or “Clearing Firm”) shall act as clearing broker for the Accounts (defined below) introduced to us by you (“you”, “your” or “Introducing Firm”) on a fully disclosed basis as introducing broker during the transition period. Accounts shall mean (a) Transferred Accounts and (b) any customer and proprietary accounts opened by or within the Transferred C Businesses during the term of this Agreement after the Closing Date for which you desire our clearing services (“New Accounts”).
AGREEMENTClearing Agreement • February 23rd, 2000 • Shochet Holding Corp • Security brokers, dealers & flotation companies
Note: This translation is for information purposes only. The German text shall prevail.)Clearing Agreement • October 15th, 2018
The Clearing Member is an Exchange Member of Wiener Börse AG in its function as a securities exchange and enters into this Agreement for the purpose of participating, be it as a Direct Clearing Member (DCM) or as a General Clearing Member (GCM), in the clearing of exchange transactions and/or transactions on the Third Market in CCP-eligible securities respectively (hereinafter referred to as ‘transactions').
Clearing AgreementClearing Agreement • November 3rd, 2020
Clearing AgreementClearing Agreement • January 7th, 2019
CLEARING AGREEMENTClearing Agreement • February 5th, 2016
CLEARING AGREEMENT between a General Clearing Member (“GCM”) at Nasdaq Clearing AB (the “Clearing House) and a Non Clearing Member (“NCM”) at Nasdaq Stockholm AB (the “Exchange”)
GENERAL RULES OF CCASSClearing Agreement • March 30th, 2020
Clearing AgreementClearing Agreement • March 23rd, 2018
AMENDMENTS ARE MARKED AS FOLLOWS: INSERTIONS ARE UNDERLINEDClearing Agreement • February 7th, 2019
The Clearing Member and Eurex Clearing AG are hereinafter also referred to as the “Parties” and each of them as a “Party”. Unless the context requires otherwise, terms used in this Agreement shall have the meaning given to them in the Clearing Conditions (the “Clearing Conditions”).
ContractClearing Agreement • September 13th, 2020
[English Translation] TFX CLEARING AGREEMENT TOKYO FINANCIAL EXCHANGE INC. (This is an English translation of the TFX Clearing Agreement, the original of which has been prepared in the Japanese language only. The Japanese language text hereof shall govern for all purposes and in all respects. Accordingly, all questions that may arise within or without courts of law in regard to the meaning of the words, provisions and stipulations of this Agreement shall be decided in accordance with the Japanese language text. Tokyo Financial Exchange Inc. (“TFX”) assumes no responsibility for accuracy, correctness or contents of this English text.)
CLEARING AGREEMENT (OMNIBUS—FULL SERVICE)Clearing Agreement • April 8th, 2021 • Northern Star Investment Corp. II • Blank checks • California
Payment will be made one business day after receipt of your documents in Fed Funds to any account that you may wish to specify.
sign landmark CCP clearing agreementClearing Agreement • July 27th, 2020
CC&G provides technology and expertise to CCP.RO BUCHAREST S.A., enabling centralised clearing services for Romania’s capital and energy markets
Date: January 2, 2003 Fahnestock & Co., Inc. 125 Broad Street New York, NY 10004 Gentlemen:Clearing Agreement • January 17th, 2003 • Fahnestock Viner Holdings Inc • Security brokers, dealers & flotation companies • New York
This will confirm our agreement ("Agreement") under which we ("we", "us", "our" or "Clearing Firm") shall act as clearing broker for the accounts of customers introduced to us by you ("you", "your" or "Introducing Firm") on a fully disclosed basis as introducing broker. For the purpose of the Securities Investors Protection Act ("SIPA"), and the financial responsibility rules of the Securities and Exchange Commission ("SEC") and the Commodity Futures Trading Commission ("CFTC"), your customers shall be treated as customers of Clearing Firm and not of Introducing Firm. Capitalized terms not defined herein shall have the meanings given to them in the Asset Purchase Agreement dated December 9, 2002 ("Asset Purchase Agreement"), between the parties. You and we further agree:
AND BANQUE CENTRALE DE COMPENSATION S.A. LCH.CLEARNET GROUP LIMITED AMENDED AND RESTATED CLEARING AGREEMENTClearing Agreement • October 30th, 2006 • NYSE Euronext, Inc. • Security & commodity brokers, dealers, exchanges & services
Euronext Amsterdam N.V., a limited liability company (“naamloze vennootschap”) organised under the laws of the Netherlands, whose registered office is at Beursplein 5, 1012 JW Amsterdam, recorded in the Commercial Register of Amsterdam under number 34138585, and represented by Mr. George Möller, Chairman of the Board of Directors (“Euronext Amsterdam”);
Re: Clearing AgreementClearing Agreement • June 29th, 2010 • Hudson Holding Corp • Security brokers, dealers & flotation companies • 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”).
For the attention of: LCH.CLEARNET Group Limited Aldgate HouseClearing Agreement • February 29th, 2012 • NYSE Euronext • Security & commodity brokers, dealers, exchanges & services
AMENDMENTS ARE MARKED AS FOLLOWS:Clearing Agreement • May 31st, 2019
ContractClearing Agreement • September 9th, 2021
KELER CCP concluded yet another regional agreement: as clearing partner of the Serbian power exchange (SEEPEX) to be launched on 17 February, KELER CCP will clear day-ahead wholesale energy market transactions. Thus, in addition to the Hungarian, Austrian, German, French and Czech markets, the KELER Group as clearing service provider enters the Serbian energy market as well.
LCH.Clearnet Amended and Restated Clearing AgreementClearing Agreement • May 11th, 2011
Euronext Amsterdam, Euronext Brussels, Euronext Lisbon and Euronext Paris are parties to an amended and restated clearing agreement with LCH.Clearnet S.A. and LCH.Clearnet Group Ltd., pursuant to which such Euronext exchanges designate LCH.Clearnet S.A. as their central counterparty clearing house to provide clearing services for transactions executed on those exchanges. The agreement was entered into in October 2003 and has a 30-month initial term and a 30-month termination notice provision.
RBC CS and Paulson have agreed to amend the Agreement in the following manner:Clearing Agreement • May 14th, 2010 • Paulson Capital Corp • Security brokers, dealers & flotation companies
Contingent on signing a one (l) year contract extension to your current clearing agreement, RBC CS will place an incentive credit of $250,000 in your firm’s settlement account within 5 business days of signing this amendment.
AMENDMENTS ARE MARKED AS FOLLOWS:Clearing Agreement • November 1st, 2018
CLEARING AGREEMENTClearing Agreement • May 8th, 2013 • NYSE Euronext • Security & commodity brokers, dealers, exchanges & services
[1] EURONEXT AMSTERDAM N.V., a limited liability company (naamloze vennootschap) organised under the laws of the Netherlands, whose registered office is at Beursplein 5, 1012 JW Amsterdam, the Netherlands, recorded in the Commercial Register of Amsterdam under number 34138585, and represented by Mr. Cees Vermaas and Mr. Roland Bellegarde ("Euronext Amsterdam");
AMENDMENTS ARE MARKED AS FOLLOWS:Clearing Agreement • February 7th, 2020
EXHIBIT 10.1 Confidential treatment has been requested for portions of this exhibit. The copy filed herewith omits the information subject to the confidentiality request. Omissions are designated as ******. A complete version of this exhibit has been...Clearing Agreement • November 12th, 1999 • Knight Trimark Group Inc • Security brokers, dealers & flotation companies
AMENDMENTS ARE MARKED AS FOLLOWS:Clearing Agreement • November 1st, 2018
AMENDMENTS ARE MARKED AS FOLLOWS:Clearing Agreement • April 7th, 2021
EXHIBIT 10.1 AGREEMENT This agreement, made this 17th day of October 1997 (the "Agreement'~ between Schroder & Co. Inc. a Delaware corporation ("Schroder" or the "Clearing Firm'), and Dupont Securities Group Inc. (the "Introducing Firm") WITNESSETH...Clearing Agreement • June 8th, 1998 • Saxon Acquisition Corp • Security & commodity brokers, dealers, exchanges & services
