This document outlines the risks, prohibitions, and general information related to option trading, emphasizing the high degree of risk involved and the need for investors to assess their financial situation before engaging in such transactions. It details the responsibilities and limitations of the account holder with Deutsche Bank Alex. Brown, including compliance with FINRA and Exchange rules, margin requirements, and the bank's discretionary powers in managing accounts.
doj/DataSet10/EFTA01392932.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":["09-PWM-0127 OM 14 (05/11)","DB-SDNY-0098252","SDNY_GM_00244436","EFTA01392932"]}