This agreement exists between an importing broker and a carrier broker for the purpose of defining a type (1-4) introduction/transport agreement. A type (1-4) of introduction/brokerage is one of four introductory carrying brokerage agreements in which an introductory broker can introduce clients to a carrier broker. In this agreement, the broker type (1-4) agreed to provide certain services, including clearing and registration activities for the type (1-4) of importing broker. The agreement is requested by IIROC in accordance with Introducing/Carrying Broker Rule 35. IIROC must approve the agreement before it enters into force. Introduction/transport agreements are entered into to allow one member (the broker “importer”) to use the back-office facilities of another member (the broker “holder”). Its investment dealer is independent of NBIN and has commissioned NBIN to provide certain registration and operating services which may include the execution and settlement of securities transactions, the custody of securities and liquidity and the extension of credits to Margin transactions. These services are provided under a written introducing/carrying broker agreement between NBIN (as a division of NBF Inc.) and your investment dealer. It is important that you understand the responsibilities of your investment dealer and NBIN under this agreement. . . .