Electronic access and the trade agreement were designed to reduce the time and cost of negotiating electronic access agreements. On the use by dealer brokers who offer clients access to electronic trading services. Deals with the common problems that arise when providing electronic trading services by dealer brokers to clients, such as. B the requirement that e-commerce services be accessible to the customer or certain authorised users only through certain access methods. Two sets of standard trading contracts designed for secured commercial documents issued pursuant to subsections 4(2) and 3(a)(3) of the Securities Act, respectively, and intended for use where one or more corporate guarantors are also responsible for the payment of principal and interest on the bonds. Standard contracts also contain a standard form of guarantee and standard advice from a guarantor`s advisor. Antitrust Compliance Brochure This brochure is intended to illustrate known concerns in the activities of professional organizations and will help SIFMA members understand the requirements of antitrust legislation and minimize the risks of antitrust concerns related to the activities supported by SIFMA. Although anti-cartel legislation recognizes that professional organizations make many pro-competitive contributions to the U.S. economy, the mere fact that professional organizations bring together competitors risks entering into agreements that may raise anti-dominant concerns. Sales contracts by type of commercial paper and guaranteed commercial paper, issued pursuant to Sections 4(2) and 3(a)(3) of the Securities Act of 1933.
Placement agent engagement agreements by type covering Conduit`s obligations and non-conducted obligations. These two new agreements are intended for municipal securities dealers, dealers and dealers who act as investment agents. A joint press release of the trade association, developed to manage counterparty risk on different types of financial products, by introducing widely used cross-industry framework agreements to reduce RSS financial risk Rest (a) Each member agrees that the SIFMA/ICMA agreement should be amended and supplemented by Section 3 (sifma/ICMA – Annex I) of this Annex A (as this Annex is amended from time to time t) all reciprocal purchase transactions they enter into with the RBA in respect of securities or other financial instruments denominated in Australian dollars (subject to any conditions that may be imposed on the membership of the member). SIFMA has developed model documents and related guidelines to help brokers, merchants and other financial institutions serve their clients and meet the new regulatory requirements of the SEC`s Municipal Advisor Rule. The SEC`s Municipal Advisor Rule imposes a registration system on municipal councillors, i.e. companies that advise local authorities and obligated persons without exception or exclusion, and imposes a trust obligation on municipal councillors who advise local authorities. The implementation of the MSRB rules will place additional requirements and prohibitions on the behaviour of municipal councillors. Standard documents that SIFMA member companies can use to clarify their role and define issuers` expectations in cooperation with local issuers and conduit borrowers. A user agreement for the formation of one or more sales groups in connection with the purchase and offering of traded securities. Clarification of Municipal Title Insurers` Statements Section 16 Letter of Authorization & General Information A draft standard trading authorization form in conjunction with Section 403 of the Sarbanes-Oxley Act of 2002.
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