The Brokerage Contract serves as the foundational document establishing the relationship between a securities broker-dealer and their client in the United States. This contract type is essential for compliance with SEC regulations, FINRA rules, and state securities laws ('Blue Sky Laws'). It should be used whenever a broker-dealer begins providing securities trading services to a new client. The contract typically includes crucial elements such as service scope, fee structures, risk disclosures, trading authorizations, and regulatory compliance obligations. It's designed to protect both parties while ensuring transparency and regulatory compliance in the securities trading relationship. The document must adhere to federal securities laws, including the Securities Exchange Act of 1934 and the Securities Act of 1933, as well as applicable state regulations.
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1. Parties: Identification of broker and client, including registration details and licensing information
2. Background: Context of the brokerage relationship and purpose of the agreement
3. Definitions: Key terms used throughout the agreement including financial and technical terminology
4. Services: Detailed description of brokerage services to be provided including trading, execution, and account management
5. Compensation: Fee structure, commission rates, payment terms and other financial obligations
6. Responsibilities: Obligations and duties of both broker and client including reporting and communication requirements
7. Term and Termination: Duration of the agreement and conditions for termination or modification
8. Confidentiality: Protection of sensitive information and trade secrets
9. Compliance: Regulatory compliance obligations and adherence to securities laws
1. Investment Advisory Services: Terms and conditions for investment advice services when broker is registered as investment advisor
2. Online Trading Terms: Specific terms and conditions for electronic trading platform usage and digital services
3. Margin Account Terms: Specific terms and conditions for margin trading activities and associated risks
1. Fee Schedule: Detailed breakdown of all fees, commissions, and charges applicable to the brokerage services
2. Risk Disclosure Statement: Comprehensive disclosure of investment risks and regulatory warnings
3. Trading Authorization Form: Details of authorized trading activities and delegation of trading authority
4. Privacy Policy: Detailed information about data handling practices and privacy protection measures
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