This document is a questionnaire related to brokerage and advisory services, covering topics such as securities trades, investment discretion, broker recommendations, soft dollar benefits, client referrals, and custody of client assets. It includes responses indicating involvement in agency cross transactions, discretionary authority over client accounts, receipt of soft dollar benefits, and custody of client assets.
documents/vol00010-efta01358780-pdf.pdf
{"document_type":"correspondence","document_subtype":"questionnaire","reference_numbers":["DB-SDNY-0046722","SDNY_GM_00192906","EFTA01358780"]}