BD- Broker-Dealer Expense Sharing Agreement (ESA) Template Investment Adviser or issuers of securities to

or issuers of securities to terminate the registration of an individual in the appropriate jurisdictions and/or self-regulatory organizations ("SROs")

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BD- Broker-Dealer Expense Sharing Agreement (ESA) Template Investment Adviser or issuers of securities toThe Broker Dealer Expense Sharing Agreement (ESA) Template is a useful tool for evidencing compliance with the financial responsibility rules relating to cost sharing, including the net capital rule, and the reporting and record keeping requirements under SEC Rule 17a 3 and 17a 4 and as described in Notice to Members 03 63. The ESA Template allows for broker dealers to customize the terms and conditions and specific amounts and % allocations of its