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Introducing Broker Agreement
Free introducing broker agreement template — an introducing broker refers clients to a larger financial firm (like a futures or forex broker) in exchange for a share of fees.
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This free introducing broker agreement covers 1. Referral Relationship, 2. Compensation, 3. Introducing Broker's Representations, 4. Compliance, 5. Client Disclosure with 9 clearly marked [placeholder] fields to fill in — built for small businesses and individuals documenting a loan or expense putting financial terms in writing so both sides have a clear, shared record. Copy it into your own word processor, fill in the placeholders, and review it — or adapt it — before use. It's part of docstoc's free document template library, alongside business, legal, real estate, finance, and HR templates. Every template here is free to copy with no signup required, and each one carries a plain disclaimer: this is a starting point for informational purposes, not a substitute for advice from a licensed professional in your jurisdiction.
Introducing Broker Agreement
Firm: [Company Name] · Introducing Broker: [Name/Company] · Date: [Date]
1. Referral Relationship
Introducing Broker will refer prospective clients to Firm for [brokerage/trading services], and Firm will handle all account opening, execution, clearing, and custody of client funds.
2. Compensation
Firm will pay Introducing Broker [%] of commissions/fees generated by referred clients' accounts, paid [Frequency], for as long as the referred client remains active with Firm [and this Agreement remains in effect].
3. Introducing Broker's Representations
Introducing Broker will not: give investment advice unless properly licensed to do so, guarantee any investment returns, or hold client funds at any time.
4. Compliance
Introducing Broker will comply with all applicable securities/commodities regulations, including registration requirements for introducing brokers under [applicable regulator, e.g. NFA/CFTC in the US].
5. Client Disclosure
Firm will ensure clients are informed of the relationship between Firm and Introducing Broker as required by applicable regulations.
6. Term and Termination
This Agreement runs [month-to-month/for a Term] and may be terminated by either party with [Notice Period] notice.
Firm: ______________________ Date: ____________ Introducing Broker: ______________________ Date: ____________
*This document is provided for informational and educational purposes only and does not constitute legal advice. Introducing brokers in regulated markets (futures, forex, securities) typically must themselves register with the applicable regulator — operating as an unregistered introducing broker, even just for referral fees, can carry real regulatory penalties.*
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What's included
- Edit online — click the document, fill in placeholders, download a PDF
- 6 standard sections: 1. Referral Relationship, 2. Compensation, 3. Introducing Broker's Representations, 4. Compliance, 5. Client Disclosure, 6. Term and Termination
- 9 clearly marked [placeholder] fields for quick personalizing
- Free to use — no account or signup required
- Fully editable — adjust any clause to match your actual situation
- Includes a signature block, ready to print or sign digitally
- Fixed docstoc.io footer on every PDF (not removable)
Who this template is for
Freelancers & solo founders
Handling routine business paperwork without commissioning custom legal drafting for every document.
Small businesses
Standardizing recurring documents — leases, agreements, notices — across a growing operation.
Anyone reviewing before signing
Using a clear starting structure to understand what a document should cover, even if a lawyer finalizes it.
Informal lending & reimbursements
Money changing hands between people or a business and its team, without a bank's paperwork.
FAQ
Is this introducing broker agreement template really free?
Yes, completely free — view, edit, and download this introducing broker agreement as a PDF without creating an account.
What does this introducing broker agreement cover?
This finance template includes 1. Referral Relationship, 2. Compensation, 3. Introducing Broker's Representations, 4. Compliance. Fill in the [bracketed] placeholders, edit any clause online, then download a PDF — the docstoc.io footer stays on every export.
Is this legal advice?
No. Financial documents like this can touch usury limits, lending disclosure rules, or tax treatment that vary by state and by amount — details a general template can't know. Have an accountant or attorney review the actual terms before money changes hands based on this.
Can I edit the wording?
Yes — edit directly on the page, adjust any section or clause, and re-fill the 9 placeholder fields to match your situation before downloading a PDF. It's a starting structure, not a rigid script.
Where can I find more free templates like this?
Browse more free finance and related document templates in the docstoc library at /document-templates/.
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