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, prohibition of freeriding, impartial lottery allocation system, non-investment adviser capacity, additional disclosures for non-U.S. residents, and communication notices.
doj/DataSet10/EFTA01392923.pdf
{"document_type":"financial","document_subtype":"account agreement appendix","key_organizations":["DBSI","Pershing"],"reference_numbers":["12-PWM-0573","012145.011113","DB-SDNY-0098238","SDNY_GM_00244422","EFTA01392923"]}