This document outlines the risks, prohibitions, and general information related to option trading with Deutsche Bank Securities Inc. It details the financial risks involved, the rules and regulations governing option trading, and the policies of Deutsche Bank Alex. Brown. The agreement covers aspects such as position and exercise limits, margin requirements, and the responsibilities of the account holder.
doj/DataSet10/EFTA01393021.pdf
{"title":"Risks, Prohibitions and General Information Concerning Option Trading","document_date":"2011-05-11","document_type":"correspondence","key_locations":["New York"],"document_subtype":"agreement","key_organizations":["Deutsche Bank Securities Inc.","Deutsche Bank Alex. Brown","Financial Industry Regulatory Authority (FINRA)","Options Clearing Corporation (OCC)"],"reference_numbers":["093 WM-0127 OM 14 (05/11)","DB-SDNY-0098370","SDNY_GM_00244554","EFTA01393021"]}