The document outlines the Bank's trading practices, including its handling of customer orders, risk management techniques, and compliance with FINRA Rule 5270. It discusses the Bank's ability to trade for its own account while managing client block orders and the dissemination of trading interests known as 'indications of interest.' The document also covers order handling practices and the use of automated execution facilities.
documents/vol00010-efta01371263-pdf.pdf
{"document_type":"correspondence","key_organizations":["DBSI","FINRA"]}