This document outlines the terms and conditions for trading securities with DBSI, including purchase and sale of securities, restrictions on trading, handling of restricted securities, order placement, aggregation of orders, transmission of instructions, role of third parties, and liens. It specifies the responsibilities and rights of the client and DBSI, including the use of third-party clearing agent Pershing, and the security interest granted to DBSI and its affiliates.
doj/DataSet10/EFTA01450268.pdf
{"document_type":"legal","document_subtype":"contract","key_organizations":["DBSI","Pershing"],"reference_numbers":["13-AWM-0196","012145.032813"]}