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For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: FOR BROKER USE ONLY Southwest Securities, Inc. and/or Broker/Dealers for which it clears ? CO Corporate ? CT Co-Trustee? ? CU Custodian?

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What is for broker use only?

For broker use only refers to information that is intended for the broker's internal use and not to be shared with clients or the public.

Who is required to file for broker use only?

Brokers or brokerages are required to file for broker use only.

How to fill out for broker use only?

For broker use only forms can be filled out by brokers by entering relevant internal information that is not meant for clients.

What is the purpose of for broker use only?

The purpose of for broker use only is to maintain confidentiality of internal information within the brokerage firm.

What information must be reported on for broker use only?

Internal financial data, strategic plans, or other confidential information may be reported on for broker use only forms.

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