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TRADITION SEF, LLCCLEARING FIRM AGREEMENTPlease complete and return to:Tradition SEF Onboarding Group 32 Old Slip, 28th Floor, New York, NY 10005 Email: TradSefOB@tradition.comIf you have any questions
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Gather all the necessary information and documentation required to fill out the form.
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Provide details about your experience in the financial industry and any relevant qualifications or certifications.
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Include information about your compliance and risk management policies to demonstrate your commitment to regulatory requirements.
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Fill out the sections related to your financial information such as assets under management, net capital, and any outstanding liabilities.
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A Tradition SEF introducing broker is a firm or individual that acts as an intermediary, facilitating transactions and connections between clients and the swap execution facilities (SEFs) operated by Tradition.
Any entity or individual acting as an introducing broker for transactions conducted on a Tradition SEF is required to file this documentation.
To fill out the Tradition SEF introducing broker, one must complete the designated forms provided by Tradition SEF, ensuring all required information about client transactions and broker activities is accurately reported.
The purpose of the Tradition SEF introducing broker is to enhance market liquidity, facilitate better pricing for clients, and ensure proper regulatory compliance by reporting all necessary transactions.
Information that must be reported includes details about client transactions, identification of parties involved, volumes traded, and any commissions or fees charged.
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