This document outlines the terms and conditions for trading securities with DBSI. It covers the purchase and sale of securities, restrictions on trading, handling of restricted securities, order placement and cancellation, aggregation of orders, transmission of instructions, the role of third parties like Pershing, and the granting of liens on securities and other property. It specifies the responsibilities and rights of both the client and DBSI, including the handling of unpaid balances, interest charges, and the security interest in client assets.
doj/DataSet10/EFTA01392879.pdf
{"document_type":"legal","document_subtype":"contract","key_organizations":["DBSI","Pershing"],"reference_numbers":["13-AWM-0196","012145.032813","DB-SDNY-0098174","SDNY_GM_00244358","EFTA01392879"]}