Enter clearing arrangement details for firms that have a CRD# in the first section "Introducing/Correspondent Firm Details (Use to Report arrangements for US Registered Broker Dealers (Firms with CRD#))". Use the next section, "Introducing/Correspondent Firm Details (Use to Report arrangements for Other Firms (Firms without a CRD#))", to enter clearing arrangement details for firms that do not have a CRD#.
To add a new arrangement in the "Introducing/Correspondent Firm Details (Use to Report arrangements for US Registered Broker Dealers (Firms with CRD#))" section, select the "Add Next Arrangement"button, enter the CRD# or Firm Name, and select the Retrieve button. The system will search using the provided information and retrieve the firm information. Enter the remaining required data. To add a new arrangement in the "Introducing/Correspondent Firm Details (Use to Report arrangements for Other Firms (Firms without a CRD#))" section, select the "Add Next Arrangement" button and enter the required data. Note, selecting the Delete Icon (red X) will remove the new arrangement from the form filing and the new arrangement will not be added to the firm's record upon form submission.
To modify an existing arrangement in the "Introducing/Correspondent Firm Details (Use to Report arrangements for US Registered Broker Dealers (Firms with CRD#))" section, select the "Modify Next Arrangement" button, enter either the CRD# or Firm Name, and select the Retrieve button. The system will retrieve the existing arrangement details for modification. To modify an existing arrangement in the "Introducing/Correspondent Firm Details (Use to Report arrangements for Other Firms (Firms without a CRD#))" section, select the "Modify Next Arrangement" button, enter the Firm Name, and select the Retrieve button. The system will retrieve the existing arrangement details for modification. Note, selecting the Delete Icon (red X) will remove the modified arrangement details from the form filing, but will not remove the existing arrangement from the firm's record. To remove or close an existing arrangement, enter the arrangement in the "Close Existing Arrangement" section.
To close an existing arrangement in the "Introducing/Correspondent Firm Details (Use to Report arrangements for US Registered Broker Dealers (Firms with CRD#))" section, select the "Close Next Arrangement" button, enter the CRD# or Firm Name, and select the Retrieve button. The system will retrieve the existing arrangement details for closure. To close an existing arrangement in the "Introducing/Correspondent Firm Details (Use to Report arrangements for Other Firms (Firms without a CRD#))" section, select the "Add Next Arrangement" button, enter the Firm Name, and select the Retrieve button. The system will retrieve the existing arrangement details for closure. Note, selecting the Delete Icon (red X) will remove the modified arrangement details from the form filing, but will not remove the existing arrangement from the firm's record.