This document outlines the terms and conditions for securities transactions between a client and DBSI. It covers the purchase and sale of securities, restrictions on trading, handling of restricted securities, order placement and modification, aggregation of orders, transmission of instructions, the role of third parties like Pershing, and liens on securities and other property. The document specifies the client's obligations, rights of DBSI, and the role of Pershing as a third-party clearing agent.
documents/vol00010-efta01368292-pdf.pdf
{"document_type":"legal","document_subtype":"contract","key_organizations":["DBSI","Pershing"],"reference_numbers":["13-AWM-0196","012145.032813"]}