The New York Model Retail Exclusive Brokerage Agreement is an agreement between a broker-dealer and a retail client that defines the terms and conditions of the broker-dealer’s engagement to provide services to the client. The agreement outlines the broker-dealer’s responsibilities in providing services, such as executing orders, managing accounts, and providing market information. It also outlines the client’s responsibilities, such as providing accurate account information, confirming orders, and making payments when due. The agreement is based on the New York Stock Exchange’s Model Retail Account Agreement, which sets a standard for all broker-dealers in the state of New York. There are two main types of New York Model Retail Exclusive Brokerage Agreements: Full-Service Agreements and Limited-Service Agreements. Full-Service Agreements include a full range of services, such as investment advice, portfolio management, and market research. Limited-Service Agreements offer fewer services and are generally less expensive than Full-Service Agreements.
New York Model Retail Exclusive Brokerage Agreement
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How to fill out New York Model Retail Exclusive Brokerage Agreement?
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