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Broker-Dealer Customer Agreement

Draft FINRA-Compliant Broker-Dealer Agreements in Minutes

12 minutes with CaseMark

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Workflow

Broker-Dealer Customer Agreement

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Workflow

Broker-Dealer Customer Agreement

Overview

Drafting broker-dealer customer agreements manually requires extensive research across FINRA rules, SEC regulations, and Regulation T requirements. Attorneys spend hours cross-referencing compliance guidelines, updating risk disclosures, and ensuring every fee structure and margin provision meets current regulatory standards, all while managing the risk of missing critical regulatory language.

Drafting broker-dealer customer agreements manually requires extensive research across FINRA rules, SEC regulations, and Regulation T requirements. Attorneys spend hours cross-referencing compliance guidelines, updating risk disclosures, and ensuring every fee structure and margin provision meets current regulatory standards, all while managing the risk of missing critical regulatory language.

CaseMark automates the entire drafting process by pulling verified regulatory language from FINRA, SEC, and industry sources in real-time. The platform generates comprehensive, compliant broker-dealer agreements with proper risk disclosures, arbitration clauses, and margin provisions in minutes, not hours, while maintaining full regulatory accuracy.

How it works

  1. 1. Upload your documents

  2. 2. AI analyzes and extracts key information

  3. 3. Review and customize the generated content

  4. 4. Export in your preferred format (DOCX, PDF)

What you get

  • Parties Involved

  • Account Opening and Information

  • Services and Products

  • Fees, Commissions, and Expenses

  • Trading Instructions and Authority

  • Risk Disclosures

  • Margin and Lending Agreements

  • Proxies, Voting, and Corporate Actions

  • Confidentiality and Data Protection

  • Termination and Amendments

  • Dispute Resolution and Arbitration

  • Signatures and Acknowledgments

What it handles

  • Parties Involved

  • Account Opening and Information

  • Services and Products

  • Fees, Commissions, and Expenses

  • Trading Instructions and Authority

  • Risk Disclosures

  • Margin and Lending Agreements

  • Proxies, Voting, and Corporate Actions

  • Confidentiality and Data Protection

  • Termination and Amendments

  • Dispute Resolution and Arbitration

  • Signatures and Acknowledgments

Required documents

  • Customer Information

    Customer details including name, address, account type, investment objectives, and financial information for account opening

    .pdf, .docx, .txt

Supporting documents

  • Existing Agreement Templates

    Firm's existing broker-dealer agreement templates or previous customer agreements for reference

    .pdf, .docx

  • Fee Schedules

    Current commission structures, fee schedules, and expense policies specific to your brokerage

    .pdf, .xlsx, .docx

  • Compliance Policies

    Internal compliance procedures, margin policies, and risk disclosure documents

    .pdf, .docx

Why teams use it

Generate FINRA and SEC compliant agreements in 12 minutes vs. 5+ hours manually

Automatically incorporate current FINRA Rule 2268 arbitration requirements and SEC disclosure standards

Pull verified regulatory language from official FINRA and SEC sources with proper citations

Ensure Regulation T margin compliance and complete risk disclosure coverage

Reduce compliance review time with pre-verified regulatory provisions and standard clauses

Questions

How does CaseMark ensure FINRA and SEC compliance in broker-dealer agreements?

CaseMark searches and verifies regulatory language directly from official FINRA and SEC sources in real-time. The platform automatically incorporates current disclosure requirements, arbitration provisions under FINRA Rule 2268, and Regulation T margin compliance standards, ensuring your agreements meet all regulatory obligations.

What regulatory disclosures are included in the broker-dealer customer agreement?

CaseMark includes all required risk disclosures for investment risks, margin trading, market volatility, and securities lending. The platform pulls FINRA-mandated language for dispute resolution, fee transparency, and customer acknowledgments, ensuring comprehensive regulatory coverage in every agreement.

Can I customize the agreement for different account types and fee structures?

Yes, CaseMark allows you to input specific customer information, account types, and your firm's fee schedules. The platform integrates your custom details while maintaining regulatory compliance, generating tailored agreements that reflect your brokerage's specific services and pricing.

How long does it take to generate a compliant broker-dealer customer agreement?

CaseMark generates a complete, FINRA and SEC compliant broker-dealer customer agreement in approximately 12 minutes. This includes all required sections from account opening provisions to arbitration clauses, compared to 5+ hours of manual drafting and regulatory research.

Does the agreement include proper arbitration and dispute resolution clauses?

Yes, CaseMark automatically includes FINRA-compliant arbitration provisions that meet Rule 2268 requirements. The platform verifies dispute resolution language against current FINRA guidelines and includes proper venue specifications, governing law provisions, and customer acknowledgment requirements.

What happens when FINRA or SEC regulations change?

CaseMark continuously searches official regulatory sources to ensure agreements reflect current requirements. When you generate a document, the platform pulls the most recent FINRA rules, SEC regulations, and compliance standards, eliminating the risk of using outdated regulatory language.

Can I use existing templates or firm-specific language with CaseMark?

Yes, you can upload your existing agreement templates, compliance policies, and fee schedules as optional documents. CaseMark's RAG technology searches your uploaded materials and integrates firm-specific provisions while ensuring all regulatory requirements are met and properly cited.

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