Trading Counterparty Form

*Counterparty Legal Entity Name (Exact):

*Contact Name:

*Address 1:

Address 2:

*City:

*State:

*Zip:

*Phone:

*Email:

*Type of Trade Execution

Global EquityFixed Income

Required Documentation
Application Form: Required(Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

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Most Recent SEC FOCUS Form II Report: (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

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Most Recent SEC FOCUS Form III Report: (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

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Firm’s current Audited Financial Statements if SEC FOCUS Forms II and III reports not filed (required if SEC FOCUS Form II and/or III reports not provided): (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

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Statement detailing entity legal type and exemption if firm and parent (if applicable) are not required to file SEC FOCUS Form II & III reports (not subject to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-10) (required if SEC FOCUS Form II and/or III reports not provided): (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

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Current Agency Credit Report/Rating (if available): (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

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Summary/Highlight of Relevant Firm Capabilities (required): (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

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A chart of legal ownership and capital structure, showing affiliations to all related companies (required): (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

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Code of Conduct – Minimum acceptable is “Index” or “Table of Contents” pages (required): (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

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Compliance Manual – Minimum acceptable is “Index” or “Table of Contents” pages (required): (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

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Business Continuity Plan – Minimum acceptable is “Index” or “Table of Contents” pages (required): (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

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Clearing firm’s current FOCUS Form II & III reports or Financial Statements (if different from the firm), (if applicable): (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

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Additional detail, description, or explanation if needed (indicate Section number and question to which the additional documentation relates):

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