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Texas Notice Filing For Third Party Brokerage Arrangements On Financial Entity Premises

Category:
Texas Secretary of State - Blue Sky - State Securities Board
State:
Texas
Control #:
TX-BS-133-9
Format:
PDF
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Description

Notice Filing For Third Party Brokerage Arrangements On Financial Entity Premises Texas Notice Filing For Third Party Brokerage Arrangements On Financial Entity Premises is a legal requirement imposed by the Texas Securities Board on businesses that provide third-party brokerage services on a financial entity’s premises. It applies to both the third-party broker and the financial entity. The notice filing provides the financial entity with information about the third-party broker’s services and the associated risks. There are two types of Texas Notice Filing For Third Party Brokerage Arrangements On Financial Entity Premises. The first is a standard notice filing, which requires the third-party broker to provide the financial entity with information regarding their services, including the type of services provided, the terms and conditions of the arrangement, and the associated risks. The second type of notice filing is an abbreviated notice filing, which requires the third-party broker to provide the financial entity with the same information as a standard notice filing, but in a shorter format. The purpose of Texas Notice Filing For Third Party Brokerage Arrangements On Financial Entity Premises is to ensure that the financial entity is aware of the risks associated with the third-party broker’s services and that they are offered in a manner that is in compliance with state law.

Texas Notice Filing For Third Party Brokerage Arrangements On Financial Entity Premises is a legal requirement imposed by the Texas Securities Board on businesses that provide third-party brokerage services on a financial entity’s premises. It applies to both the third-party broker and the financial entity. The notice filing provides the financial entity with information about the third-party broker’s services and the associated risks. There are two types of Texas Notice Filing For Third Party Brokerage Arrangements On Financial Entity Premises. The first is a standard notice filing, which requires the third-party broker to provide the financial entity with information regarding their services, including the type of services provided, the terms and conditions of the arrangement, and the associated risks. The second type of notice filing is an abbreviated notice filing, which requires the third-party broker to provide the financial entity with the same information as a standard notice filing, but in a shorter format. The purpose of Texas Notice Filing For Third Party Brokerage Arrangements On Financial Entity Premises is to ensure that the financial entity is aware of the risks associated with the third-party broker’s services and that they are offered in a manner that is in compliance with state law.

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