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Execution only (give-up agreement) 1) Over-the-Counter - Meaning

A tri-party agreement that is signed by the executing broker, the clearing broker and the client. This agreement sets out the terms by which the clearing broker will accept business on behalf of the client. 2) Clearing: A tri-party agreement that is signed by the executing broker, the Designated Clearing Member (DCM) and the client. This agreement sets out the terms by which the DCM will accept business on behalf of the client.

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