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BD- Broker-Dealer Expense Sharing Agreement (ESA) Template
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BD- Broker-Dealer Expense Sharing Agreement (ESA) Template
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BD- Broker-Dealer Expense Sharing Agreement (ESA) TemplateThe Broker Dealer Expense Sharing Agreement (ESA) Template is a useful tool for evidencing compliance with the financial responsibility rules relating to cost sharing, including the net capital rule, and the reporting and record keeping requirements under SEC Rule 17a 3 and 17a 4 and as described in Notice to Members 03 63. The ESA Template allows for broker dealers to customize the terms and conditions and specific amounts and % allocations of its
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The Broker-Dealer Expense Sharing Agreement (ESA) Template is a useful tool for evidencing compliance with the financial responsibility rules relating to cost-sharing, including the net capital rule, and the reporting and record-keeping requirements under SEC Rule 17a-3 and 17a-4 and as described in Notice to Members 03-63. The ESA Template allows for broker-dealers to customize the terms and conditions and specific amounts and % allocations of its costs-sharing arrangements and memorialize such arrangements in accordance with books and records requirements.
Version/Update: V.2/October 9, 2018
Total Page Count: 3
Source/Author(s): Connexien
BD- Broker-Dealer Expense Sharing Agreement (ESA) Template
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