This resource page contains documents in SIFMA’s Prime Brokerage Standard Forms and Documentation Library, such as the Cap Intro Sample Disclosure.
Cap Intro Sample Disclosure
This model disclosure is intended to accompany communications about an SEC-registered investment adviser or a private fund advised by such IA that are made by a U.S. broker-dealer to potential investors in such private funds in the course of such BD providing capital introduction services to the IA. This disclosure is intended to help IAs satisfy their obligations under Rule 206(4)-1 under the Investment Advisers Act of 1940, as amended with respect to cap intro communications if and to the extent that such IAs determine that such communications may constitute or be construed as Advertisements under the Marketing Rule.
Prime Brokerage Agreement (Form 150)
An agreement between a prime broker and an executing broker whereby the prime broker provides prime brokerage services in compliance with the SEC Prime Brokerage No Action Letter.
Prime Brokerage Clearance Services Agreement (Form 151) - January 12, 2012
An agreement between a clearing broker and a customer whereby the clearing broker clears prime brokerage transactions.