This document is an appendix to an account agreement, providing disclosures and definitions related to financial transactions and account management with DBSI. It covers topics such as transaction confirmations, securities lending, trade report corrections, account sequestration, foreign securities risks, prohibition of freeriding, lottery allocation for callable securities, DBSI's non-investment adviser role, additional disclosures for non-U.S. residents, and communication protocols.
doj/DataSet10/EFTA01448697.pdf
{"document_type":"financial","key_locations":["United States"],"document_subtype":"Account Agreement Appendix","key_organizations":["DBSI","Pershing","Federal Reserve Board","Securities and Exchange Commission"],"reference_numbers":["12-PWM-0573","012145.011113","DB-SDNY-0103796","SDNY_GM_00249980","EFTA01448697"]}