This document is an appendix to an account agreement, providing disclosures and definitions related to financial transactions and account management. It covers topics such as transaction confirmations, consent to loan or pledge securities, corrected and late trade reports, effects of account attachment or sequestration, foreign securities risks, prohibition of freeriding, impartial lottery allocation system, non-investment adviser capacity, additional disclosures for non-U.S. residents, and communication notices.
doj/DataSet10/EFTA01450292.pdf
{"title":"Appendix to Account Agreement: Disclosures and Definitions","document_type":"financial","key_locations":["United States"],"document_subtype":"account agreement appendix","key_organizations":["DBSI","Pershing","Federal Reserve Board","Securities and Exchange Commission"]}