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AGREEMENT BETWEEN NEW BROKER AND FORMER BROKER OF A TRANSFERRING LICENSEE 2018 Printing N This AGREEMENT (Agreement) is entered into pursuant to O.C.G.A. 434019(c) and Rule 5201.07(5)(e) this date

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How to fill out agreement between new broker

01

Begin by gathering all the necessary information and documents such as the names and contact information of both the new broker and the client, the terms and conditions of the agreement, and any specific requirements outlined by the regulatory bodies.

02

Clearly define the objectives and scope of the agreement, including the specific services the new broker will provide and the duration of the agreement.

03

Set out the compensation arrangements, including details on commissions, fees, or any other payment terms agreed upon between the parties.

04

Include clauses regarding confidentiality and non-disclosure to protect sensitive information shared during the course of the agreement.

05

Specify any termination clauses and procedures that would apply in case either party wishes to terminate the agreement prematurely or at the end of the agreed-upon term.

06

Ensure that the agreement complies with all relevant laws and regulations governing broker-client relationships.

07

Review the agreement with both parties involved to ensure mutual understanding and agreement on all terms.

08

Once reviewed and finalized, both the new broker and the client should sign and date the document to make it legally binding.

09

Make copies of the signed agreement for all parties involved.

10

Store the agreement in a secure and easily accessible location for future reference.

Who needs agreement between new broker?

01

Any individual or organization looking to establish a new broker-client relationship needs an agreement between the new broker. This includes individuals seeking financial services from a broker, as well as businesses or institutions looking to engage brokers for their investment or trading needs.

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