Broker-Dealer Non-Securities Consulting Agreement

The Broker-Dealer Non-Securities Consulting Agreement is a customizable standard agreement used for firms looking to provide consulting and/or other professional services outside the scope of securities recommendations or transactions.  The Non-Securities Consulting Agreement includes seventeen separate sections to address various requirements when preparing a standard agreement and serves as documentary evidence of a firm’s consulting services in accordance with certain books and records requirements.

Version/Update: V.2/May 30, 2024

Total Page Count/Format 6/.docx

Source/Author(s): Connexien