The document outlines the Bank's practices regarding trading and order handling, including the management of risk, principal positions, and compliance with FINRA Rule 5270. It discusses the dissemination of trading interests and the handling of customer orders, emphasizing the Bank's commitment to best execution and the use of automated execution facilities.
doj/DataSet10/EFTA01374460.pdf
{"document_type":"correspondence","key_organizations":["DBSI","FINRA"],"reference_numbers":["DB-SDNY-0069157","SDNY_GM_00215341","EFTA01374460"]}