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Description
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
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
Shipping Notes
- Free Standard Shipping on $100+ Orders to the USA.
- Except Preorder products are shipped in 48 hours.
- Delivery to the USA:
- Standard Shipping : 3-10 business days
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Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
- To process your return/exchange, please contact us at [email protected]
- Please click here for more details>>> Return & Exchange Policy