Apex maintains the books and records required by law and in business practice. The fully disclosed clearing agreement does not include transactions in investments other than marketable securities that Apex normally trades on recognized exchanges and over-the-counter (“OTC”) markets. When providing Apex services under the fully disclosed clearing agreement, Apex may use and rely on the services of clearing houses, automatic data processing providers, power of attorney processing, transfer agents, securities pricing services and other similar organizations. This document discusses the basic assignment of features related to managing your account. This is not a definitive enumeration of all possible circumstances, but only a general revelation. This Agreement (the “Agreement”) is between RBC Dain Correspondent Services, a division of RBC Dain Rauscher Inc., a Minnesota corporation (“Compensation Broker”), and the signatory party below (“Correspondent”) with the form of organization specified below. .05 Notice to customers. For the purposes of paragraph (d) of this Rule, it is not necessary to notify Clients of a change by any of the parties to the Contract of Carriage if, in accordance with applicable FINRA rules and federal securities laws, the accounts of such clients are transferred in accordance with (a) ACATS using an authorized Transfer Instruction Form (TIF); or (b) a process outside of ACATS where notice to customers through another mechanism such as positive or negative response letters. This fully disclosed Clearing Services Agreement (“Agreement”) is subject to approval by the Financial Industry Regulatory Authority (“FINRA”) from the later date signed by the parties as described below (“Effective Date”) by and between NATIONAL FINANCIAL SERVICES LLC (“NFS”), a Delaware limited liability company, and MURIEL SIEBERT & CO., INC. (“Correspondent”), a Delaware corporation. As of the date of entry into force, this Agreement replaces and replaces the offsetting agreement between NFS and Correspondent dated March 20, 2000. 01 Significant changes.
For the purposes of clause (b) (1) of these Regulations, significant amendments include, but are not limited to, changes to: (a) the allocation of responsibilities required by these Regulations; (b) the termination clauses applicable to the importing company; (c) any terms or conditions affecting the liability of the parties; and (d) the parties to the Agreement (including, . B, the inclusion of a new Party to the Agreement, such as. B a “piggyback” agreement, a new transport company or a new importing company, but without notice of the Agreement). .