This document outlines the terms and conditions for trading securities with DBSI, including purchase and sale of securities, restrictions on trading, handling of restricted securities, order placement, and the role of third parties like Pershing. It also details the security interest and lien DBSI holds over client assets to secure obligations.
doj/DataSet10/EFTA01390380.pdf
{"document_type":"legal","document_subtype":"contract","key_organizations":["DBSI","Pershing"],"reference_numbers":["13-AWM-0196","012145.032813","DB-SDNY-0094869","SDNY_GM_00241053","EFTA01390380"]}