Broker Protocol

Starting May 4, 2015, Bressler, Amery & Ross P.C. will administer the Protocol for Broker Recruiting (also referred to as the Broker Protocol).

Bressler, Amery & Ross P.C.’s role in administering the Protocol is strictly limited to maintaining and distributing lists of Protocol signatory firms and their contact information. Bressler, Amery & Ross P.C. does not: provide legal advice as it relates to the Protocol; interpret the terms of the Protocol; or police signatories' conduct as it relates to the Protocol.

The Protocol was originally executed in 2004 between Citigroup Global Markets Inc. ("Smith Barney"), Merrill Lynch, Pierce, Fenner & Smith Incorporated, and UBS Financial Services Inc. The Protocol governs the use of client information when registered representatives move between firms that are signatories to the Protocol, with the stated principal goal of furthering clients' interests in privacy and freedom of choice in connection with the movement of their registered representatives.

There is no fee to become a signatory to the Protocol. A firm interested in joining should sign the joinder agreement and send it to Bressler, Amery & Ross P.C. Please also submit the name, phone number, and e-mail address of your firm's contact for purposes of the Protocol. Signed copies of the joinder agreement and firm contact information should be submitted to Bressler, Amery & Ross:

Please submit the joinder agreement and contact information using only one of the methods specified above. A firm's joinder to the Protocol is effective on the date the firm's signed joinder agreement and contact information are received by Bressler, Amery & Ross.

A firm wishing to withdraw as a signatory to the Protocol should submit a letter of withdrawal which specifies the effective date of withdrawal to Bressler, Amery & Ross P.C. via mail, or email as specified above.

Bressler, Amery & Ross P.C. distributes by email weekly to all firms that are signatories to the Protocol a list of the signatory firms and their contact information.