The Broker Dealer Referral Agreement is essential for financial institutions operating in the United States that wish to expand their client base through referral arrangements. This document is specifically designed to comply with strict U.S. securities regulations, including SEC requirements, FINRA rules, and state-specific regulations. The agreement outlines the responsibilities of both parties, compensation structures, and compliance requirements while protecting both parties' interests. It's particularly important given the heavily regulated nature of securities trading and the need for clear documentation of referral arrangements in the financial services industry.
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1. Parties: Identifies the broker-dealer and the referrer, including registration details and contact information
2. Background: Explains the context of the agreement and the parties' intentions to enter into a referral arrangement
3. Definitions: Defines key terms used throughout the agreement including 'Referral', 'Client', 'Services', etc.
4. Scope of Services: Details the referral services to be provided and any limitations
5. Regulatory Compliance: Outlines compliance requirements with securities laws and regulations
6. Compensation: Details the fee structure and payment terms for referrals
7. Representations and Warranties: States the parties' representations regarding licenses, compliance, and authority
8. Term and Termination: Specifies duration and termination conditions
9. Confidentiality: Addresses handling of confidential information
1. Marketing and Communications: Guidelines for marketing materials and client communications - include when referrer will be involved in marketing activities
2. Training Requirements: Specifies any required training for referrers - include when specific training is needed for compliance
3. Territory Restrictions: Defines geographical limitations - include when referrals are limited to specific regions
4. Non-Compete: Restrictions on competing activities - include when exclusivity is required
1. Compensation Schedule: Detailed breakdown of fee structures and payment calculations
2. Compliance Procedures: Detailed compliance requirements and procedures
3. Required Disclosures: Standard disclosures required by regulations
4. Approved Marketing Materials: Templates or examples of approved marketing materials
5. Registration Documentation: Copies of relevant licenses and registrations
Relevant legal definitions
Agreement
Applicable Law
Broker-Dealer
Broker-Dealer Services
Business Day
Client
Confidential Information
Effective Date
FINRA
Initial Term
Intellectual Property Rights
Marketing Materials
Potential Client
Referral
Referral Fee
Referral Period
Referrer
Regulatory Authority
SEC
Securities
Services
Term
Territory
Third Party
Trade Secrets
Transaction
Applicable Law
Broker-Dealer
Broker-Dealer Services
Business Day
Client
Confidential Information
Effective Date
FINRA
Initial Term
Intellectual Property Rights
Marketing Materials
Potential Client
Referral
Referral Fee
Referral Period
Referrer
Regulatory Authority
SEC
Securities
Services
Term
Territory
Third Party
Trade Secrets
Transaction
Clauses
Regulatory Compliance
Scope of Services
Referral Process
Compensation
Payment Terms
Registration Requirements
Licensing
Client Disclosures
Marketing Restrictions
Confidentiality
Data Protection
Representations and Warranties
Indemnification
Insurance
Record Keeping
Audit Rights
Term and Termination
Non-Solicitation
Non-Competition
Intellectual Property
Force Majeure
Assignment
Amendments
Notices
Governing Law
Dispute Resolution
Severability
Entire Agreement
Counterparts
Third-Party Rights
Anti-Money Laundering
Best Execution
Client Suitability
Scope of Services
Referral Process
Compensation
Payment Terms
Registration Requirements
Licensing
Client Disclosures
Marketing Restrictions
Confidentiality
Data Protection
Representations and Warranties
Indemnification
Insurance
Record Keeping
Audit Rights
Term and Termination
Non-Solicitation
Non-Competition
Intellectual Property
Force Majeure
Assignment
Amendments
Notices
Governing Law
Dispute Resolution
Severability
Entire Agreement
Counterparts
Third-Party Rights
Anti-Money Laundering
Best Execution
Client Suitability
Relevant Industries
Relevant Teams
Relevant Roles
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