The Broker Dealer Selling Agreement serves as the foundational document governing the relationship between broker-dealers and selling firms in the U.S. securities market. This agreement is essential when establishing distribution arrangements for securities and investment products, ensuring compliance with SEC regulations, FINRA rules, and applicable state laws. It typically includes detailed provisions on licensing requirements, compliance procedures, compensation structures, and risk management protocols. The agreement is particularly crucial in maintaining regulatory compliance while facilitating efficient securities distribution channels.
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1. Parties: Identification of the broker-dealer and selling firm
2. Background: Context of the agreement and relationship between parties
3. Definitions: Key terms used throughout the agreement
4. Appointment and Authority: Scope of selling rights and territorial limitations
5. Compliance Requirements: Regulatory obligations and compliance procedures
6. Compensation: Commission structure and payment terms
7. Term and Termination: Duration and termination provisions
8. Representations and Warranties: Standard declarations by both parties
1. International Operations: Additional provisions for broker-dealers operating across multiple jurisdictions
2. Special Products: Specific provisions for particular financial products such as derivatives or structured products
3. Digital Services: Provisions governing online trading platforms and digital service delivery
1. Commission Schedule: Detailed breakdown of commission rates and compensation structure
2. Compliance Procedures: Detailed compliance requirements and procedures for regulatory compliance
3. Required Disclosures: Standard disclosures required by federal and state regulations
4. Territory Schedule: Defined geographical areas of operation and any territorial restrictions
5. Product Schedule: Comprehensive list of approved products for selling under the agreement
Relevant legal definitions
Clauses
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