Uniform Executing Broker Agreement Sample Contracts

FINRA TRANSPARENCYSERVICES UNIFORM EXECUTING BROKER AGREEMENT
Uniform Executing Broker Agreement • July 10th, 2018

This Uniform Executing Broker Agreement (“Agreement”) is for use by a FINRA member participating in one or more FINRA market transparency facilities (“Participant”) to authorize another FINRA member (“Executing Broker”) to report trades on behalf of the Participant on such facilities.

Sample 1Sample 2
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FINRA TRANSPARENCY SERVICES UNIFORM EXECUTING BROKER AGREEMENT
Uniform Executing Broker Agreement • March 22nd, 2018

This Uniform Executing Broker Agreement (“Agreement”) is for use by a FINRA member participating in one or more FINRA market transparency facilities (“Participant”) to authorize another FINRA member (“Executing Broker”) to report trades on behalf of the Participant on such facilities.

Sample 1
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