BD- Broker-Dealer Expense Sharing Agreement (ESA) Template Investment Adviser Members also downloaded Investment Adviser

Members also downloaded Investment Adviser Rep Annual Compliance Certification

The Broker-Dealer Expense Sharing Agreement (ESA) Template is a useful tool for evidencing compliance with the financial responsibility rules relating to cost-sharing

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The Checklist assists broker-dealers in documenting and testing the range and quality of execution services and whether the Firm used reasonable diligence to ascertain the best market for the subject security and buy or sell in such market so that the resultant price to the customer is as favorable as possible under prevailing market conditions

When working with third-party service providers

BD- Broker-Dealer Expense Sharing Agreement (ESA) Template Investment Adviser Members also downloaded Investment AdviserThe 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