Trading Counterparty Form
*Counterparty Legal Entity Name (Exact):
*Contact Name:
*Address 1:
Address 2:
*City:
*State:
..State
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District Of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
*Zip:
*Phone:
*Email:
*Type of Trade Execution
Global Equity
Fixed Income
Required Documentation
Application Form:
Required
(Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)
Choose file
Most Recent SEC FOCUS Form II Report:
(Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)
Choose file
Most Recent SEC FOCUS Form III Report:
(Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)
Choose file
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)
Choose file
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)
Choose file
Current Agency Credit Report/Rating
(if available)
:
(Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)
Choose file
Summary/Highlight of Relevant Firm Capabilities
(required)
:
(Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)
Choose file
A chart of legal ownership and capital structure, showing affiliations to all related companies
(required)
:
(Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)
Choose file
Code of Conduct – Minimum acceptable is “Index” or “Table of Contents” pages
(required)
:
(Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)
Choose file
Compliance Manual – Minimum acceptable is “Index” or “Table of Contents” pages
(required)
:
(Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)
Choose file
Business Continuity Plan – Minimum acceptable is “Index” or “Table of Contents” pages
(required)
:
(Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)
Choose file
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)
Choose file
Additional detail, description, or explanation if needed
(indicate Section number and question to which the additional documentation relates)
:
Attention:
Florida has a very broad public records law. This communication (including your email address, any attachments and other email contents) may be subject to disclosure to the public and media.
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Error in Submission
You must submit either of the following sets of documents
SEC FOCUS II Form
SEC FOCUS III Form
OR
Current Audited Financial Statements
Statement detailing entity legal type and exemption if firm and parent (if applicable) are not required to file SEC FOCUS Form II & III reports
×
Missing Files in Submission
The following files are required and are missing from the submission