The Executing Broker Agreement serves as the foundational document for establishing and governing the relationship between executing brokers and their clients in the U.S. securities markets. This contract type is essential for institutional trading relationships, detailing crucial aspects such as execution services, compliance obligations, fee structures, and risk management procedures. It ensures compliance with SEC regulations, FINRA rules, and applicable state laws while providing clear guidelines for trade execution, reporting, and settlement processes.
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1. Parties: Identification of executing broker and client, including registration details and legal status
2. Background: Context of the agreement and brief description of the services to be provided
3. Definitions: Key terms used throughout the agreement
4. Services: Detailed description of execution services to be provided
5. Duties and Obligations: Responsibilities of both parties including best execution, reporting, and compliance requirements
6. Fees and Compensation: Commission structure and payment terms
7. Representations and Warranties: Legal statements about parties' capacity, authority, and compliance status
8. Term and Termination: Duration of agreement and conditions for termination
9. Confidentiality: Protection of confidential information and trade secrets
10. Governing Law: Applicable law and jurisdiction
1. Prime Brokerage Arrangements: Additional terms and conditions for when executing broker works with prime brokers
2. DMA Services: Specific provisions and requirements for Direct Market Access services
3. Algorithm Trading: Terms and conditions governing the use of algorithmic trading capabilities
4. Cross-Border Provisions: Additional terms and requirements for international trading across multiple jurisdictions
5. Give-Up Arrangements: Terms and conditions governing give-up trading arrangements
1. Fee Schedule: Detailed commission rates and fee structure
2. Markets Schedule: List of markets where execution services are provided
3. Authorized Persons: List of individuals authorized to give trading instructions
4. Order Execution Policy: Detailed policy for best execution requirements
5. Risk Disclosure: Required risk disclosures and acknowledgments
6. Technology Requirements: Technical specifications for electronic trading systems
7. Compliance Requirements: Detailed regulatory compliance procedures
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